Com(2010)459 En.Pdf

EN EN EUROPEAN COMMISSION

Brussels, 31.8.2010 COM(2010) 459 final

2010/0240 (NLE)

Proposal for a

COUNCIL REGULATION (EU) No …/2010

on restrictive measures against Iran and repealing Regulation (EC) No 423/2007

(presented jointly by the Commission and the High Representative of the EU for Foreign Affairs and Security Policy)

EN EN EXPLANATORY MEMORANDUM

(1) On 26 July 2010, the Council approved Decision 2010/413/CFSP confirming the restrictive measures taken since 2007 and providing for additional restrictive measures against Iran in order to comply with UN Security Council Resolution 1929 (2010) and accompanying measures as requested by the European Council in its Declaration of 17 June 2010.

(2) These restrictive measures comprise in particular additional restrictions on trade in dual-use goods and technology and equipment which might be used for internal repression, restrictions on trade in key equipment for, and on investment in, the Iranian oil and gas industry, restrictions on Iranian investment in the uranium mining and nuclear industry, restrictions on transfers of funds to and from Iran, restrictions concerning the Iranian banking sector, restrictions on Iran’s access to the insurance and bonds markets of the Union and restrictions on providing certain services to Iranian ships and cargo aircraft.

(3) The Council also provided for additional categories of persons to be made subject to the freezing of funds and economic resources and certain other, technical amendments to existing measures.

(4) The restrictive measures concerning dual-use goods should be broadened to cover all goods and technology of Annex I to Regulation (EC) No 428/2009, with the exception of certain items in its Category 5. Category 5 goods and technology which are currently subject to prohibition should, however, remain subject to prohibition. It is also appropriate to impose a prohibition on some of the goods and technology which were previously subject to an export authorisation requirement under Article 3 of Regulation 423/2007.

(5) A list of key goods and technology in the oil and gas sector should be provided in order to ensure effective implementation of restrictive measures by economic operators and customs administrations. A supplementary proposal for the list of key equipment and technology for the oil and natural gas industry referred to in Article 8 of the proposed Regulation, will be made under separate cover.

(6) Restrictions on investment in the oil and gas sector should cover certain key activities, such as transmission services, in order to be effective, while for the same reason, the restrictions should apply to joint ventures as well as other forms of associations and cooperation in the oil and gas sector.

(7) Effective restrictions on Iranian investment in the Union require that measures be taken to prohibit that natural or legal persons, entities and bodies subject to the jurisdiction of the Union enable or authorise such investment.

(8) It is therefore necessary to amend and supplement Regulation (EC) No 423/2007 of 19 April 2007 concerning restrictive measures against Iran. For the sake of clarity, the Commission and the High Representative of the EU for Foreign Affairs and Security Policy propose to replace it by a new, consolidated Regulation.

EN 2 EN 2010/0240 (NLE)

Proposal for a

COUNCIL REGULATION (EU) No …/2010

on restrictive measures against Iran and repealing Regulation (EC) No 423/2007

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 215 thereof,

Having regard to Council Decision 2010/413/CFSP of 26 July 2010 concerning restrictive measures against Iran and repealing Common Position 2007/140/CFSP1,

Having regard to the joint proposal from the High Representative of the Union for Foreign Affairs and Security Policy and the Commission,

Whereas:

(1) On 26 July 2010, the Council approved Decision 2010/413/CFSP confirming the restrictive measures taken since 2007 and providing for additional restrictive measures against the Islamic Republic of Iran (hereinafter referred to as Iran) in order to comply with UN Security Council Resolution 1929 (2010) as well as accompanying measures as requested by the European Council in its Declaration of 17 June 2010.

(2) These restrictive measures comprise in particular additional restrictions on trade in dual-use goods and technology as well as equipment which might be used for internal repression, restrictions on trade in key equipment and technology for, and on investment in, the Iranian oil and gas industry, restrictions on Iranian investment in the uranium mining and nuclear industry, restrictions on transfers of funds to and from Iran, restrictions concerning the Iranian banking sector, restrictions on Iran’s access to the insurance and bonds markets of the Union and restrictions on providing certain services to Iranian ships and cargo aircraft.

(3) The Council also provided for additional categories of persons to be made subject to the freezing of funds and economic resources and certain other, technical amendments to existing measures.

(4) The obligation to freeze economic resources of designated entities of the Islamic Republic of Iran Shipping Lines (IRISL) does not require the impounding or detention of vessels owned by such entities or the cargoes carried by them insofar as such cargoes belong to third parties, nor does it require the detention of the crew contracted by them,

1 OJ L 195, 27.7.2010, p. 39.

EN 3 EN (5) These measures fall within the scope of the Treaty on the Functioning of the European Union and, therefore, notably with a view to ensuring their uniform application by economic operators in all Member States, legislation at the level of the Union is necessary in order to implement them as far as the Union is concerned.

(6) Regulation (EC) No 423/2007 of 19 April 2007 concerning restrictive measures against Iran2 as amended enacts the restrictive measures taken by the Union further to Common Position 2007/140/CFSP as amended3. For the sake of clarity, Regulation (EC) No 423/2007 should be repealed in its entirety and replaced by this Regulation.

(7) The revised restrictive measures concerning dual-use goods should cover all goods and technology of Annex I to Regulation (EC) No 428/2009, with the exception of certain items in its Category 5. Category 5 items which relate to nuclear and missile technology and are currently subject to prohibition should, however, remain subject to prohibition. Moreover, it is also appropriate to impose a prohibition on some of the goods and technology which were previously subject to an export authorisation requirement under Article 3 of Regulation 423/2007.

(8) A list of key goods and technology in the oil and gas sector should be provided in order to ensure effective implementation of restrictive measures by economic operators and customs administrations.

(9) Restrictions on investment in the oil and gas sector should cover certain key activities, such as transmission services, in order to be effective, while for the same reason, the restrictions should apply to joint ventures as well as other forms of associations and cooperation in the oil and gas sector.

(10) Effective restrictions on Iranian investment in the Union require that measures be taken to prohibit that natural or legal persons, entities and bodies subject to the jurisdiction of the Union enable or authorise such investment.

(11) In order to ensure consistency with Directive 2005/60/EC of the European Parliament and of the Council of 26 October 2005 on the prevention of the use of the financial system for the purpose of money laundering and terrorist financing4, this Regulation follows the same definitions of the terms "financial institution" and "credit institution" as that Directive.

(12) This Regulation respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union and notably the right to an effective remedy and to a fair trial, the right to property and the right to protection of personal data. This Regulation should be applied in accordance with those rights and principles.

(13) Decision 2010/413/CFSP makes provision for a review procedure to be followed when a natural or legal person, entity or body is included in Annex I or Annex II to that Decision. The listing procedures for the purpose of freezing funds and economic resources under this Regulation should not duplicate these procedures.

2 OJ L 103, 20.4.2007, p. 1. 3 OJ L 61, 28.2.2007, p. 49. 4 OJ L 309, 25.11.2005, p. 15

EN 4 EN (14) For the implementation of this Regulation, and in order to create maximum legal certainty within the Union, the names and other relevant data concerning natural and legal persons, entities and bodies whose funds and economic resources must be frozen in accordance with the Regulation, should be made public. Any processing of personal data of natural persons under this Regulation should respect Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data5 and Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data6.

(15) In order to ensure that the measures provided for in this Regulation are effective, the latter should enter into force on the day of its publication,

HAS ADOPTED THIS REGULATION: Chapter I Definitions

Article 1

For the purposes of this Regulation the following definitions shall apply:

(a) 'branch' of a financial or credit institution means a place of business which forms a legally dependent part of a financial or credit institution and which carries out directly all or some of the transactions inherent in the business of financial or credit institutions;

(b) ‘brokering services’ means activities of persons, entities and partnerships acting as intermediaries by buying, selling or arranging the transfer of goods and technology, or negotiating or arranging transactions that involve the transfer of goods or technology;

(c) ‘contract or transaction’ means any transaction of whatever form and whatever the applicable law, whether comprising one or more contracts or similar obligations made between the same or different parties; for this purpose ‘contract’ includes a bond, guarantee or indemnity, particularly a financial guarantee or financial indemnity, and credit, whether legally independent or not, as well as any related provision arising under, or in connection with, the transaction;

(d) ‘credit institution’ means a credit institution as defined in Article 4(1) of Directive 2006/48/EC of the European Parliament and of the Council of 14 June 2006 relating

5 OJ L 8, 12.1.2001, p. 1. 6 OJ L 281, 23.11.1995, p. 31.

EN 5 EN to the taking up and pursuit of the business of credit institutions7, including its branches inside or outside the Union;

(e) ‘customs territory of the Union’ means the territory defined in Article 3 of Regulation (EC) No 450/2008 of the European Parliament and of the Council of 23 April 2008 laying down the Community Customs Code8.

(f) ‘economic resources’ means assets of every kind, whether tangible or intangible, movable or immovable, which are not funds but which may be used to obtain funds, goods or services;

(g) ‘exploration of crude oil and natural gas’ includes prospection of crude oil and of natural gas, as well as geological services;

(h) ‘financial institution’ means

(i) an undertaking, other than a credit institution, which carries out one or more of the operations included in points 2 to 12 and points 14 and 15 of Annex I to Directive 2006/48/EC, including the activities of currency exchange offices (bureaux de change);

(ii) an insurance company duly authorised in accordance with Directive 2002/83/EC of the European Parliament and of the Council of 5 November 2002 concerning life assurance9, insofar as it carries out activities covered by that Directive;

(iii) an investment firm as defined in point 1 of Article 4(1) of Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments10;

(iv) a collective investment undertaking marketing its units or shares;

(v) an insurance intermediary as defined in Article 2(5) of Directive 2002/92/EC of the European Parliament and of the Council of 9 December 2002 on insurance mediation11, with the exception of intermediaries as mentioned in Article 2(7) of that Directive, when they act in respect of life insurance and other investment related services;

and its branches inside or outside the Union.

(i) ‘freezing of economic resources’ means preventing the use of economic resources to obtain funds, goods or services in any way, including, but not limited to, by selling, hiring or mortgaging them;

(g) ‘freezing of funds’ means preventing any move, transfer, alteration, use of, access to, or dealing with funds in any way that would result in any change in their volume,

7 OJ L 177, 30.6.2006, p. 1 8 OJ L 145, 4.6.2008, p. 1. 9 OJ L 345, 19.12.2002, p. 1–51 10 OJ L 145, 30.4.2004, p. 1 11 OJ L 9, 15.1.2003

EN 6 EN amount, location, ownership, possession, character, destination or other change that would enable the funds to be used, including portfolio management;

(k) ‘funds’ means financial assets and benefits of every kind, including but not limited to:

(i) cash, cheques, claims on money, drafts, money orders and other payment instruments;

(ii) deposits with financial institutions or other entities, balances on accounts, debts and debt obligations;

(iii) publicly- and privately-traded securities and debt instruments, including stocks and shares, certificates representing securities, bonds, notes, warrants, debentures and derivatives contracts;

(iv) interest, dividends or other income on or value accruing from or generated by assets;

(v) credit, right of set-off, guarantees, performance bonds or other financial commitments;

(vi) letters of credit, bills of lading, bills of sale; and

(vii) documents showing evidence of an interest in funds or financial resources;

(l) ‘goods’ includes items, materials and equipment;

(m) ‘insurance’ means a commitment whereby one or more persons is or are obliged, in return for a payment, to provide one or more other persons, in the event of materialisation of a risk, with an indemnity or a benefit as determined by the commitment;

(n) ‘investment’ means:

(i) an acquisition or extension of a participation in an enterprise, including the acquisition in full of such an enterprise and the acquisition of shares and securities of a participating nature;

(ii) a financial loan or credit;

(iii) an agreement with another natural or legal person, entity or body who commits to acquiring or extending a participation in an enterprise in his own name at the expense of the other party to the agreement and to exercise his ownership rights upon the instruction of the other party to the agreement;

(o) ‘Iranian aircraft’ means:

(i) an aircraft registered in Iran;

(ii) an aircraft not registered in Iran and owned, in whole or in part, by one or more nationals of Iran or by one or more legal persons, entities or bodies which are incorporated or constituted under the law of Iran;

EN 7 EN (iii) any other aircraft which is leased or otherwise hired by one or more nationals of Iran or by one or more legal persons, entities or bodies which are incorporated or constituted under the law of Iran;

(p) ‘Iranian enterprise’ means:

(i) any legal person, entity or body which is incorporated or otherwise constituted under the law of Iran;

(ii) any other legal person, entity or body, including any non-incorporated enterprise or association, which has its principal place of business or central administration in Iran;

(iii) any legal person, entity or body not incorporated or constituted under the law of Iran which is owned, in whole or in part, by one or more nationals of Iran or by one or more legal persons, entities or bodies which are incorporated or constituted under the law of Iran;

(q) ‘Iranian vessel’ means:

(i) a vessel flying the flag of Iran;

(ii) a vessel flying another flag which is owned, in whole or in part, by one or more nationals of Iran or by one or more legal persons, entities or bodies which are incorporated or constituted under the law of Iran;

(iii) any other vessels chartered or otherwise hired by one or more nationals of Iran or by one or more legal persons, entities or bodies which are incorporated or constituted under the law of Iran;

(r) ‘person, entity or body in Iran’ means:

(i) the State of Iran or any public authority thereof;

(ii) any natural person in, or resident in, Iran;

(iii) any legal person, entity or body having its registered office in Iran;

(iv) any legal person, entity or body controlled directly or indirectly by one or more of the above mentioned persons or bodies;

(s) ‘production of crude oil and natural gas’ includes transmission of crude oil and of natural gas;

(t) ‘refining’ means the processing, conditioning or preparation for the market of hydrocarbons;

(u) ‘reinsurance’ means the activity consisting in accepting risks ceded by an insurance undertaking or by another reinsurance undertaking or, in the case of the association of underwriters known as Lloyd's, the activity consisting in accepting risks, ceded by any member of Lloyd's, by an insurance or reinsurance undertaking other than the association of underwriters known as Lloyd's;

EN 8 EN (v) ‘Sanctions Committee’ means the Committee of the United Nations Security Council which was established pursuant to paragraph 18 of UNSCR 1737 (2006);

(w) ‘technical assistance’ means any technical support related to repairs, development, manufacture, assembly, testing, maintenance, or any other technical service, and may take forms such as instruction, advice, training, transmission of working knowledge or skills or consulting services; including verbal forms of assistance;

(x) ‘technology’ includes software;

(y) ‘territory of the Union’ means the territories of the Member States to which the Treaty is applicable, under the conditions laid down in the Treaty, including their airspace.

(z) ‘transfer of funds’ means any transaction carried out on behalf of a payer through a payment service provider by electronic means, with a view to making funds available to a payee at a payment service provider, irrespective of whether the payer and the payee are the same person. The terms payer, payee and payment service provider have the same meaning as in Regulation (EC) No 1781/2006 of the European Parliament and of the Council of 15 November 2006 on information on the payer accompanying transfers of funds12; Chapter II Export and import restrictions

Article 2

1. It shall be prohibited:

(a) to sell, supply, transfer or export, directly or indirectly, the goods and technology listed in Annexes I and II, whether or not originating in the Union, to any natural or legal person, entity or body in, or for use in, Iran or to an Iranian enterprise;

(b) to sell, supply, transfer or export, directly or indirectly, equipment which might be used for internal repression as listed in Annex III, whether or not originating in the Union, to any natural or legal person, entity or body in, or for use in, Iran;

(c) to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the prohibition referred to in point (a) or (b).

2. Annex I shall include goods and technology, including software, which are dual-use items or technology as defined in Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items13, except the goods and technology defined in Category 5 of

12 OJ L 345, 8.12.2006, p. 1. 13 OJ L 134, 29.5.2009, p. 1.

EN 9 EN Annex I to that Regulation which are not included in the Nuclear Suppliers Group and Missile Technology Control Regime lists.

3. Annex II shall include other goods and technology which could contribute to Iran’s enrichment-related, reprocessing or heavy-water-related activities, to the development of nuclear weapon delivery systems, or to the pursuit of activities related to other topics about which the IAEA has expressed concerns or identified as outstanding, including those determined by the UN Security Council or by the Sanctions Committee.

4. Annexes I and II shall not include goods and technology included in the Common Military List of the European Union14.

Article 3

1. A prior authorisation shall be required for the sale, supply, transfer or export, directly or indirectly, of the goods and technology listed in Annex IV, whether or not originating in the Union, to any natural or legal person, entity or body in, or for use in, Iran or to an Iranian enterprise.

2. For all exports for which an authorisation is required under this Article, such authorisation shall be granted by the competent authorities of the Member State where the exporter is established and shall be in accordance with the detailed rules laid down in Article 11 of Regulation (EC) No 428/2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items. The authorisation shall be valid throughout the Union.

3. Annex IV shall include any goods and technology other than those included in Annexes I and II, which could contribute to enrichment-related, reprocessing or heavy water-related activities, to the development of nuclear weapon delivery systems, or to the pursuit of activities related to other topics about which the International Atomic Energy Agency (IAEA) has expressed concerns or identified as outstanding.

4. Exporters shall supply the competent authorities with all relevant information required for their application for an export authorisation.

5. The competent authorities of the Member States, as identified in the websites listed in Annex V, shall not grant any authorisation for any sale, supply, transfer or export of the goods or technology included in Annex IV, if they determine that the sale, supply, transfer or export thereof would contribute to one of the following activities:

(a) Iran's enrichment-related, reprocessing or heavy water-related activities;

(b) the development of nuclear weapon delivery systems by Iran;

(c) the pursuit by Iran of activities related to other topics about which the IAEA has expressed concerns or identified as outstanding; or

14 OJ L 88, 29.3.2007, p. 58.

EN 10 EN (d) the exploration of crude oil and natural gas, production of crude oil and natural gas, refining, or liquefaction of natural gas by an Iranian enterprise.

6. Under the conditions set out in paragraph 5, the competent authorities of the Member States, as identified in the websites listed in Annex V, may annul, suspend, modify or revoke an export authorisation which they have already granted.

7. Where they refuse to grant an authorisation, or annul, suspend, substantially limit or revoke an authorisation in accordance with paragraph 5, the Member States shall notify the other Member States and the Commission thereof and share the relevant information with them, while complying with the provisions concerning the confidentiality of such information of Council Regulation (EC) No 515/97 of 13 March 1997 on mutual assistance between the administrative authorities of the Member States and cooperation between the latter and the Commission to ensure the correct application of the law on customs and agricultural matters15.

8. Before a Member State grants an authorisation which has been denied by another Member State, in accordance with paragraph 5, for an essentially identical transaction and for which the denial is still valid, it will first consult the Member State or States which issued the denial as provided for in paragraphs 6 and 7. If, following such consultations, the Member State concerned decides to grant an authorisation, it shall inform the other Member States and the Commission thereof, providing all relevant information to explain the decision.

Article 4

It shall be prohibited to purchase, import or transport the goods and technology listed in Annexes I, II and III from Iran, whether the item concerned originates in Iran or not.

Article 5

1. It shall be prohibited:

(a) to provide, directly or indirectly, technical assistance related to the goods and technology listed in the Common Military List of the European Union, or related to the provision, manufacture, maintenance and use of goods included in that list, to any natural or legal person, entity or body in, or for use in, Iran;

(b) to provide, directly or indirectly, technical assistance or brokering services related to the goods and technology listed in Annexes I and II, or related to the provision, manufacture, maintenance and use of goods listed in Annexes I and II, to any natural or legal person, entity or body in, or for use in, Iran;

(c) to provide, directly or indirectly, technical assistance or brokering services related to equipment which might be used for internal repression as listed in Annex III, to any natural or legal person, entity or body in, or for use in, Iran;

15 OJ L 82, 22.3.1997, p. 1.

EN 11 EN (d) to provide, directly or indirectly, financing or financial assistance related to the goods and technology listed in the Common Military List of the European Union or in Annexes I, II and III, including in particular grants, loans and export credit insurance, for any sale, supply, transfer or export of such items, or for any provision of related technical assistance to any natural or legal person, entity or body in, or for use in, Iran;

(e) to participate, knowingly and intentionally, in activities, the object or effect of which is to circumvent the prohibitions referred to in points (a) to (d).

2. The provision of the following shall be subject to an authorisation of the competent authority of the Member State concerned:

(a) technical assistance or brokering services related to goods and technology listed in Annex IV and to the provision, manufacture, maintenance and use of these items, directly or indirectly to any person, entity or body in, or for use in, Iran;

(b) financing or financial assistance related to goods and technologies referred to in Annex IV, including in particular grants, loans and export credit insurance, for any sale, supply, transfer or export of these items, or for any provision of related technical assistance, directly or indirectly, to any person, entity or body in, or for use in, Iran.

3. The competent authorities of the Member States, as identified in the websites listed in Annex V, shall not grant any authorisation for the transactions referred to in paragraph 2, if they determine that the action were to contribute to one of the following activities:

(a) Iran's enrichment-related, reprocessing or heavy water-related activities;

(b) the development of nuclear weapon delivery systems by Iran;

(c) the pursuit by Iran of activities related to other topics about which the IAEA has expressed concerns or identified as outstanding; or

(d) the exploration of crude oil and natural gas, production of crude oil and natural gas, refining, or liquefaction of natural gas by an Iranian enterprise.

Article 6

Article 2(1)(a) shall not apply to the goods falling within Part B of Annex I, when they are sold, supplied, transferred or exported to, or for use in, Iran for a light water reactor in Iran whose construction has begun before December 2006.

Article 7

1. The competent authorities of the Member States, as identified in the websites listed in Annex V, may grant, under such terms and conditions as they deem appropriate, an authorisation for a transaction in relation to goods and technology referred to in

EN 12 EN Article 2(1) or assistance or brokering services referred to in Article 5(1), if the following conditions are met:

(a) the contract for delivery of the goods or technology, or for the provision of assistance, includes appropriate end-user guarantees;

(b) Iran has undertaken not to use the goods or technology concerned, or if applicable, the assistance concerned, in proliferation sensitive nuclear activities or for development of nuclear weapon delivery systems;

(c) if the transaction concerns goods or technology contained in the Nuclear Suppliers Group and Missile Technology Control Regime lists, the Sanctions Committee has determined in advance and on a case-by-case basis that the transaction would clearly contribute neither to the development of technologies in support of Iran's proliferation sensitive nuclear activities, nor to the development of nuclear weapon development delivery systems; and

(d) if the goods or technology concerned can be considered as key equipment or technology for the oil and natural gas industry, the end-user is not an enterprise engaged in exploration of crude oil and natural gas, production of crude oil and natural gas, refining, or liquefaction of natural gas, as referred to in Article 8(1).

2. The Member State concerned shall inform the other Member States and the Commission when it rejects a request for an authorisation.

Article 8

1. It shall be prohibited to sell, supply, transfer or export goods or technology listed in Annex VI, directly or indirectly, to any natural or legal person, entity or body in, or for use in, Iran, or to an Iranian enterprise, if the person, entity, body or enterprise concerned is engaged in one or more of the following activities:

(a) exploration of crude oil and natural gas;

(b) production of crude oil and natural gas;

(d) liquefaction of natural gas.

2. Annex VI shall include key equipment and technology used in the industries mentioned in paragraph 1. Annex VI shall not include items included in the Common Military List of the European Union, Annex I or Annex II.

3. An enterprise engaged in the manufacture of certain goods or in a certain activity shall be construed as including an enterprise proposing to engage in such manufacture or such activity.

EN 13 EN Article 9

It shall be prohibited:

(a) to provide, directly or indirectly, technical assistance or brokering services related to the goods and technology listed in Annex VI, or related to the provision, manufacture, maintenance and use of goods listed in Annex VI, to any natural or legal person, entity or body in, or for use in, Iran or to an Iranian enterprise, if the person, entity, body or enterprise concerned is engaged in one or more of the following activities:

(i) exploration of crude oil and natural gas;

(ii) production of crude oil and natural gas;

(iii) refining;

(iv) liquefaction of natural gas;

(b) to provide, directly or indirectly, financing or financial assistance related to the goods and technology listed in Annex VI, to any natural or legal person, entity or body in, or for use in, Iran or to an Iranian enterprise, if the person, entity, body or enterprise concerned is engaged in one or more of the activities referred to in point (a);

(c) to participate, knowingly and intentionally, in activities, the object or effect of which is to circumvent the prohibitions referred to in points (a) and (b).

Article 10

1. The prohibitions in Article 8(1) and 9 shall not apply to:

(a) in the case of Article 8.1, transactions required by a trade contract concluded before 26 July 2010 or by a contract or agreement concluded before 26 July 2010 and relating to an investment in Iran made before 26 July 2010;

(b) in the case of Article 9, the provision of assistance required by a contract or agreement concluded before 26 July 2010 and relating to an investment made in Iran before 26 July 2010,

provided that the conditions set out in points (c) and (d) are met,

(c) the natural or legal person, entity or body seeking to engage in the transaction or to provide assistance has notified the transaction or assistance to one of the competent authorities of the Member States, as identified in the websites listed in Annex V; and

(d) the competent authority which received the notification has not informed the applicant within 15 working days that it considers that the conditions set out in points (a) or (b) are not met.

EN 14 EN 2. The sale, supply, transfer or export of goods or technology listed in Annex VI and the provision of related brokering services, assistance or financing to Iran or to an Iranian enterprise shall be notified to one of the competent authorities of the Member States, as identified in the websites listed in Annex V, if the person, entity, body or enterprise concerned is not engaged in one or more of the activities referred to in Article 8(1).

The transaction or provision of services, assistance or financing shall be so notified at least 15 working days before it takes place. It shall be prohibited if the competent authority which received the notification, informs within 15 working days that it considers that it is prohibited by Article 8(1) or 9. Chapter III Restrictions on investment

Article 11

1. It shall be prohibited:

(a) to make an investment in an Iranian enterprise engaged in the manufacture of goods or technology listed in the Common Military List of the European Union or in Annex I or II;

(b) to make an investment in an Iranian enterprise engaged in the manufacture of equipment which might be used for internal repression as listed in Annex III;

(c) to make an investment in an Iranian enterprise engaged in the exploration or production of crude oil and natural gas, the refining of hydrocarbons or the liquefaction of natural gas;

(d) to form any joint venture, incorporations, non-incorporated associations, or cooperation in whatever legal form with an Iranian enterprise engaged in the exploration or production of crude oil and natural gas, the refining of hydrocarbons or the liquefaction of natural gas;

(e) to seek or to give effect to any concentration within the meaning of Article 3 of Council Regulation (EC) No 139/2004 of 20 January 2004 on the control of concentrations between undertakings16 with an Iranian enterprise referred to under (c);

(f) to participate, knowingly and intentionally, in activities, the object or effect of which is to circumvent the prohibitions referred to in points (a) to (e).

2. The co-operation referred to in paragraph 1(d) includes:

(a) co-operation in any form, or sharing investments costs, in an integrated or managed supply chain for the delivery of oil and gas, or their derivative

16 OJ L 24, 29.1.2004, p. 1.

EN 15 EN products, to international markets with an enterprise or undertaking, whether incorporated or not, that is engaged in the oil and gas sector upon the territory of Iran;

(b) co-operation in any form for the purpose of refining, conditioning or processing otherwise of raw materials or transmitting by pipeline of the products of the oil and gas sectors upon the territory of Iran with an enterprise or undertaking, whether incorporated or not, that is engaged in the oil and gas sector upon the territory of Iran;

(c) co-operation in any form for the purpose of facilitating the investment in or optimising the utilisation of transmission capacity for oil or gas with an enterprise or undertaking, whether incorporated or not, that is engaged in the oil and gas sector upon the territory of Iran.

(d) co-operation with any legal person, entity or body in any form for the purpose of facilitating the investment in liquefied natural gas facilities within or directly or indirectly connected to the territory of Iran.

3. An enterprise engaged in the manufacture of certain goods or in a certain activity shall be construed as including an enterprise proposing to engage in such manufacture or such activity.

4. Paragraph 1 shall be without prejudice to the execution of trade contracts for the supply of goods or services on usual commercial payment conditions and the usual supplementary agreements in connection with the execution of these contracts such as export credit insurances.

Article 12

1. The making of an investment in an Iranian enterprise engaged in the manufacture of goods or technology listed in Annex IV shall be subject to an authorisation of the competent authority of the Member State concerned.

2. The competent authorities of the Member States, as identified in the websites listed in Annex V, shall not grant any authorisation for the transactions referred to in paragraph 1, if they determine that the action would contribute to one of the following activities:

(a) Iran's enrichment-related, reprocessing or heavy water-related activities;

(b) the development of nuclear weapon delivery systems by Iran;

(c) the pursuit by Iran of activities related to other topics about which the IAEA has expressed concerns or identified as outstanding; or

(d) the exploration of crude oil and natural gas, production of crude oil and natural gas, refining, or liquefaction of natural gas by an Iranian enterprise.

EN 16 EN Article 13

By way of derogation from Article 11(1)(a), the competent authorities of the Member States, as identified in the websites listed in Annex V, may grant, under such terms and conditions as they deem appropriate, an authorisation to make an investment, if the following conditions are met:

(a) the Iranian enterprise has committed itself to apply appropriate end-user guarantees as regards the goods or technology concerned;

(b) Iran has undertaken not to use the goods or technology concerned in proliferation sensitive nuclear activities or for development of nuclear weapon delivery systems;

(c) if the investment is made in an Iranian enterprise engaged in the manufacture of goods or technology contained in the Nuclear Suppliers Group and Missile Technology Control Regime lists, the Sanctions Committee has determined in advance and on a case-by-case basis that the transaction would clearly contribute neither to the development of technologies in support of Iran's proliferation sensitive nuclear activities, nor to the development of nuclear weapon development delivery systems; and

(d) if the goods or technology manufactured by the Iranian enterprise can be considered as key equipment or technology for the oil and natural gas industry, the end-user is not an Iranian enterprise engaged in exploration of crude oil and natural gas, production of crude oil and natural gas, refining, or liquefaction of natural gas, as referred to in Article 8(1).

Article 14

Article 11(1)(c) shall not apply to the acquisition or extension of a participation in an Iranian enterprise or to the granting of a financial loan or credit, if the following conditions are met:

(a) the transaction is required by an agreement or contract concluded before 26 July 2010; and

(b) the competent authority has been informed of this agreement or contract and has not contested within two months that the condition at (a) is met.

Article 15

It shall be prohibited:

(a) to accept or approve, by concluding an agreement or by any other means, that an investment be made by one or more Iranian enterprises or by a person, entity or body in Iran, in an enterprise engaged in any of the following activities:

(i) uranium mining,

(ii) uranium enrichment and reprocessing of uranium;

EN 17 EN (iii) the manufacture of goods or technology contained in the Nuclear Suppliers Group and Missile Technology Control Regime lists.

(b) to participate, knowingly and intentionally, in activities, the object or effect of which is to circumvent the prohibition in point (a). Chapter IV Freezing of funds and economic resources

Article 16

1. All funds and economic resources belonging to, owned, held or controlled by the persons, entities and bodies listed in Annex VII shall be frozen. Annex VII shall include the persons, entities and bodies designated by the United Nations Security Council or by the Sanctions Committee in accordance with paragraph 12 of United Nations Security Council Resolution 1737 (2006), paragraph 7 of United Nations Security Council Resolution 1803 (2008) or paragraph 11, 12 or 19 of United Nations Security Council Resolution 1929 (2010).

2. All funds and economic resources belonging to, owned, held or controlled by the persons, entities and bodies listed in Annex VIII shall be frozen. Annex VIII shall include natural and legal persons, entities and bodies, not covered by Annex VII, who, in accordance with Article 20(1)(b) of Council Decision 2010/413/CFSP, have been identified as:

(a) being engaged in, directly associated with, or providing support for, Iran's proliferation-sensitive nuclear activities or its development of nuclear weapon delivery systems, including through involvement in procurement of prohibited goods and technology, or being owned or controlled by such a person, entity or body, including through illicit means, or acting on their behalf or at their direction;

(b) being a natural or legal person, entity or body that has assisted a listed person, entity or body to evade or violate the provisions of this Regulation or the measures taken by a Member State or a third country complying with Council Decision 2010/413/CFSP or UN Security Council Resolutions 1737 (2006), 1747 (2007), 1803 (2008) and 1929 (2010);

(c) being a senior member of the Islamic Revolutionary Guard Corps or a legal person, entity or body owned or controlled by the Islamic Revolutionary Guard Corps or by one of more of its senior members;

(d) being a legal person, entity or body owned or controlled by the Islamic Republic of Iran Shipping Lines.

3. No funds or economic resources shall be made available, directly or indirectly, to or for the benefit of the natural or legal persons, entities or bodies listed in Annexes VII and VIII.

EN 18 EN 4. The participation, knowingly and intentionally, in activities the object or effect of which is, directly or indirectly, to circumvent the measures referred to in paragraphs 1, 2 and 3 shall be prohibited.

5. Annexes VII and VIII shall include the grounds for listing of persons, entities and bodies listed respectively by the UN Security Council or the Sanctions Committee, or the Council, and their dates of designation.

6. Annexes VII and VIII shall also include, where available, information on listed natural persons, for the purpose of identifying sufficiently the persons concerned. Such information shall only include:

(a) surname and given names, including alias names and titles, if any;

(b) date and place of birth;

(d) passport and identity card numbers;

(e) fiscal and social security numbers;

(f) gender;

(g) address or other information on whereabouts;

(h) function or profession.

7. Annexes VII and VIII may also include information as set out above on family members of the persons listed, provided that this information is necessary in a specific case for the sole purpose of verifying the identity of the listed natural person concerned.

Article 17

By way of derogation from Article 16, the competent authorities of the Member States, as indicated in the websites listed in Annex V, may authorise the release of certain frozen funds or economic resources, if the following conditions are met:

(a) the funds or economic resources are the subject of a judicial, administrative or arbitral lien established before the date on which the person, entity or body referred to in Article 16 has been designated by the Sanctions Committee, the Security Council or by the Council or of a judicial, administrative or arbitral judgment rendered prior to that date;

(b) the funds or economic resources will be used exclusively to satisfy claims secured by such a lien or recognised as valid in such a judgment, within the limits set by applicable laws and regulations governing the rights of persons having such claims;

EN 19 EN (d) recognising the lien or judgment is not contrary to public policy in the Member State concerned; and

(e) if Article 16(1) applies, the Sanctions Committee has been notified by the Member State of the lien or judgment.

Article 18

By way of derogation from Article 16 and provided payment by a person, entity or body listed in Annex VII or VIII is due under a contract, agreement or obligation that was concluded by, or arose for the person, entity or body concerned, before the date on which that person, entity or body has been designated by the Sanctions Committee, the Security Council or by the Council, the competent authorities of the Member States, as indicated in the websites listed in Annex V, may authorise, under such conditions as they deem appropriate, the release of certain frozen funds or economic resources, if the following conditions are met:

(a) the competent authority concerned has determined that:

(i) the funds or economic resources shall be used for a payment by a person, entity or body listed in Annex VII or VIII;

(ii) the contract, agreement or obligation will not contribute to the manufacture, sale, purchase, transfer, export, import, transport or use of goods and technology listed in Annexes I, II, III and VI; and

(iii) the payment is not in breach of Article 16(3);

(b) if Article 16(1) applies, the Member State concerned has notified the Sanctions Committee of that determination and its intention to grant an authorisation, and the Sanctions Committee has not objected to that course of action within ten working days of notification; and

(c) if Article 16(2) applies, the Member State concerned has notified that determination of its competent authority and its intention to grant an authorisation to the other Member States and to the Commission at least two weeks prior to the authorisation.

Article 19

1. By way of derogation from Article 16, the competent authorities of the Member States, as identified in the websites listed in Annex V, may authorise, under such conditions as they deem appropriate, the release of certain frozen funds or economic resources, or the making available of certain funds or economic resources, if the following conditions are met:

(a) the competent authority concerned has determined that the funds or economic resources are:

(i) necessary to satisfy the basic needs of persons listed in Annex VII or VIII, and their dependent family members, including payments for

EN 20 EN foodstuffs, rent or mortgage, medicines and medical treatment, taxes, insurance premiums, and public utility charges;

(ii) intended exclusively for payment of reasonable professional fees and reimbursement of incurred expenses associated with the provision of legal services; or

(iii) intended exclusively for payment of fees or service charges for routine holding or maintenance of frozen funds or economic resources; and

(b) if the authorisation concerns a person, entity or body listed in Annex VII, the Member State concerned has notified the Sanctions Committee of that determination and its intention to grant an authorisation, and the Sanctions Committee has not objected to that course of action within five working days of notification.

2. By way of derogation from Article 16, the competent authorities of the Member States, as indicated in the websites listed in Annex V, may authorise the release of certain frozen funds or economic resources or the making available of certain funds or economic resources, after having determined that the funds or economic resources are necessary for extraordinary expenses or for payment for goods referred to in Article 6 when procured for a light water reactor in Iran whose construction has begun before December 2006, provided that

(a) if the authorisation concerns a person, entity or body listed in Annex VII, the Sanctions Committee has been notified of this determination by the Member State concerned and that the determination has been approved by that Committee, and

(b) if the authorisation concerns a person, entity or body listed in Annex VIII, the competent authority has notified the grounds on which it considers that a specific authorisation should be granted to the other competent authorities of the Member States and to the Commission at least two weeks before the authorisation.

3. The relevant Member State shall inform the other Member States and the Commission of any authorisation granted under paragraphs 1 and 2.

Article 20

1. Article 16(3) shall not prevent financial or credit institutions from crediting frozen accounts where they receive funds transferred to the account of a listed natural or legal person, entity or body, provided that any additions to such accounts will also be frozen. The financial or credit institution shall inform the competent authorities about such transactions without delay.

2. Article 16(3) shall not apply to the addition to frozen accounts of:

(a) interest or other earnings on those accounts; or

EN 21 EN (b) payments due under contracts, agreements or obligations that were concluded or arose before the date on which the person, entity or body referred to in Article 16 has been designated by the Sanctions Committee, the Security Council or by the Council;

provided that any such interest, other earnings and payments are frozen in accordance with Article 16(1) or 16(2).

3. This Article shall not be construed as authorising transfers of funds referred to in Article 21. Chapter V Restrictions on transfers of funds and on financial services

Article 21

1. Except where the conditions of paragraph 2, 3, 4 or 6 are met, it shall be prohibited:

(a) to give an order for a transfer of funds having a value of Euro 10 000 or more to a person, entity or body in Iran;

(b) to receive a transfer of funds having a value of Euro 10 000 or more from a person, entity or body in Iran;

(c) to execute transfers of funds having a value of Euro 10 000 or more initiated by a person, entity or body in Iran, or to execute transfers of funds having a value of Euro 10 000 or more to a person, entity or body in Iran.

These prohibitions shall apply regardless of whether the transfer of funds is executed in a single operation or in several operations which appear to be linked.

2. The prohibitions in paragraph 1 shall not apply to transfers of funds that are payments due for the supply of foodstuffs or medical equipment or for the provision of healthcare, or that are made for humanitarian purposes, provided the transfer of funds has been notified in writing to one of the competent authorities of the Member States, as identified in the websites listed in Annex V.

The transfer of funds shall be so notified by the natural or legal person, entity or body giving the order for a transfer of funds or, if that person, entity or body giving the order does not fall within the scope of Article 36, by the natural or legal person, entity or body receiving and executing the order for the transfer of funds.

3. The prohibitions in paragraph 1 shall not apply to transfers having a value below Euro 40 000 other than those referred in paragraph 2, if the natural or legal person, entity or body giving the order or, where that person, entity or body does not fall within the scope of Article 36, the person, entity or body executing the transfer of funds has notified in writing the transfer of funds to one of the competent authorities of the Member States, as identified in the websites listed in Annex V.

EN 22 EN 4. The competent authorities of the Member States, as identified in the websites listed in Annex V, may grant, under such terms and conditions as they deem appropriate, an authorisation for a transfer of funds having a value of Euro 40 000 or more, unless they determine that the transfer of funds for which an authorisation is requested, would contribute to one of the following activities:

(a) Iran's enrichment-related, reprocessing or heavy water-related activities;

(b) the development of nuclear weapon delivery systems by Iran;

(c) the pursuit by Iran of activities related to other topics about which the IAEA has expressed concerns or identified as outstanding; or

(d) the exploration of crude oil and natural gas, production of crude oil and natural gas, refining, or liquefaction of natural gas by an Iranian enterprise.

An authorisation shall be deemed granted, if a competent authority has received a request in writing for an authorisation and, within four weeks, the competent authority has not objected in writing to the transfer of funds. If the objection is raised because an investigation is pending, the competent authority shall state this and communicate its decision as soon as possible. The authorisation shall be deemed granted if no decision is communicated four weeks from the raising of the objection.

The Member State concerned shall inform the other Member States and the Commission when it rejects a request for an authorisation.

5. The Member States shall assist each other upon request where necessary for the purpose of an investigation.

6. Paragraph 1 shall not apply where an authorisation for a transfer has been granted in accordance with Article 17, 18 or 19.

Article 22

1. Branches and subsidiaries of credit and financial institutions domiciled in Iran falling within the scope of Article 36, as listed in Annex IX, shall notify the competent authority of the Member State where they are established, as identified in the websites listed in Annex V, of all transfers of funds carried out or received by them, the names of the parties, the amount and the date of the transaction, within five working days after carrying out or receiving the transfer of funds concerned. If the information is available, the notification must specify the nature of the transaction and, where appropriate, the nature of the goods covered by the transaction and must, in particular, state whether the goods are covered by Annex I, II, III, IV or VI of this Regulation and, if their export is subject to authorisation, indicate the number of the licence granted.

2. Subject to, and in accordance with, the information-sharing arrangements, the other notified competent authorities shall without delay transmit these data, as necessary, in order to prevent any transaction that could contribute to proliferation-sensitive nuclear activities or to the development of nuclear weapons delivery systems, to the

EN 23 EN competent authorities of other Member States where the counterparts to such transactions are established.

Article 23

1. Credit and financial institutions which come within the scope of Article 36 shall, in their activities with credit and financial institutions referred to in paragraph 2, and in order to prevent such activities contributing to proliferation-sensitive nuclear activities or to the development of nuclear weapon delivery systems:

(a) exercise continuous vigilance over account activity, particularly through their programmes on customer due diligence and under their obligations relating to money laundering and financing of terrorism;

(b) require that in payment instructions all information fields which relate to the originator and beneficiary of the transaction in question be completed and if that information is not supplied, refuse the transaction;

(c) maintain all records of transactions for a period of five years and make them available to national authorities on request;

(d) if they suspect or have reasonable grounds to suspect that funds are related to proliferation financing, promptly report their suspicions to the financial intelligence unit (FIU) or to another competent authority designated by the Member State concerned, as indicated on the websites listed in Annex V, without prejudice to Articles 5 and 16. The FIU or such other competent authority will serve as a national centre for receiving and analysing suspicious transaction reports regarding potential proliferation financing. The FIU or such other competent authority shall have access, directly or indirectly, on a timely basis to the financial, administrative and law enforcement information that it requires to properly undertake this function, including the analysis of suspicious transaction reports.

The above requirements for credit and financial institutions shall be complementary to existing obligations deriving from Regulation 1781/200617 and from the implementation of Directive 2005/60/EC.

2. The measures set out in paragraph 1 shall apply to credit and financial institutions in their activities with:

(a) credit and financial institutions domiciled in Iran;

(b) branches and subsidiaries, where they come within the scope of Article 36, of credit and financial institutions domiciled in Iran, as listed in Annex IX;

(c) branches and subsidiaries, where they do not come within the scope of Article 36, of credit and financial institutions domiciled in Iran, as listed in Annex IX;

17 OJ L 345, 8.12.2006, p.1-9

EN 24 EN (d) credit and financial institutions that are neither domiciled in Iran nor come within the scope of Article 36 but are controlled by persons and entities domiciled in Iran, as listed in Annex IX.

Article 24

1. It shall be prohibited for credit and financial institutions falling within the scope of Article 36 to do any of the following:

(a) to open a bank account with a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or with any branch or subsidiary of such a credit or financial institution listed in Annex IX;

(b) to establish a correspondent banking relationship with a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or with any branch or subsidiary of such a credit or financial institution listed in Annex IX,

(d) to acquire or extend a participation in a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or in any branch or subsidiary of such a credit or financial institution listed in Annex IX, or to acquire any other ownership interest in such a credit or financial institution;

(e) to establish a joint venture with a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or with any branch or subsidiary of such a credit or financial institution listed in Annex IX.

2. It shall be prohibited:

(a) to authorise the opening of a representative office or the establishment of a branch or subsidiary in the Union of a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or of any branch or subsidiary of such a credit or financial institution listed in Annex IX;

(b) to negotiate or conclude agreements for, or on behalf of, a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or for, or on behalf of, any branch or subsidiary of such a credit or financial institution listed in Annex IX, pertaining to the creation of a representative office, branch or subsidiary in the Union;

(c) to grant an authorisation for taking up and pursuing the business of credit institution or for any other business requiring prior authorisation, by a representative office, branch or subsidiary of a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or of any branch or subsidiary of such a credit or financial institution listed in Annex IX, if the representative office, branch or subsidiary was not operational before 26 July 2010.

EN 25 EN Article 25

It shall be prohibited:

(a) to sell or purchase public or public-guaranteed bonds issued after 26 July 2010, directly or indirectly, to or from any of the following:

(i) Iran or its Government, and its public bodies, corporations and agencies;

(ii) a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or any branch or subsidiary listed in Annex IX;

(iii) a natural person or a legal person, entity or body acting on behalf or at the direction of a legal person, entity or body referred to under (i) or (ii);

(iv) a legal person, entity or body owned or controlled by a person, entity or body referred to under (i), (ii) or (iii);

(b) to provide to a person, entity or body referred to in point (a) brokering services with respect to public or public-guaranteed bonds issued after 26 July 2010;

(c) to assist a person, entity or body referred to in point (a) in order to issue public or public-guaranteed bonds, by providing brokering services, advertising or any other service with respect to such bonds.

Article 26

1. It shall be prohibited:

(a) to provide insurance or re-insurance to:

(i) Iran or its Government, and its public bodies, corporations and agencies;

(ii) an Iranian enterprise; or

(iii) a natural person or a legal person, entity or body acting on behalf or at the direction of a legal person, entity or body referred to under (i) or (ii).

(b) to participate, knowingly and intentionally, in activities, the object or effect of which is to circumvent the prohibition in point (a).

2. Paragraph 1 shall not apply to the provision of health and travel insurance to individuals.

3. This Article prohibits the extension or renewal of insurance and re-insurance agreements concluded before the entry into force of this Regulation, but does not prohibit compliance with agreements made before that date.

EN 26 EN Chapter VI Restrictions on transport

Article 27

1. In order to prevent the transfer of goods and technology covered by the Common Military List of the EU or whose supply, sale, transfer, export or import is prohibited by this Regulation, all goods brought into or leaving the customs territory of the Union from or to Iran shall be made subject to pre-arrival or pre-departure information to be submitted to the competent customs authorities of the Member State concerned.

2. The rules governing the obligation to provide pre-arrival and pre-departure information, in particular time limits to be respected and data required, shall be as determined in the relevant provisions concerning entry and exit summary declarations as well as customs declarations in Council Regulation (EEC) No 2913/92 of 12 October 1992 establishing the Community Customs Code18 and in Commission Regulation (EEC) No 2454/93 of 2 July 1993 laying down provisions for the implementation of Regulation (EEC) No 2913/9219.

3. Furthermore, the person who brings the goods into or out of the customs territory of the Union from or to Iran, or who assumes responsibility for the carriage of the goods to or from Iran, or his representative, shall declare whether the goods are covered by the Common Military List of the EU or by this Regulation and, if their export is subject to authorisation, specify the particulars of the export licence granted.

4. Until 31 December 2010 the entry and exit summary declarations and the required additional elements referred to in paragraph 3 may be submitted in written form using commercial, port or transport information, provided that they contain the necessary particulars.

5. As from 1 January 2011, the required additional elements referred to in this Article shall be submitted:

– for goods brought into the customs territory of the Union, either in written form or using an entry and exit summary declaration as appropriate, and

– for goods brought out of the customs territory of the Union, either by a customs declaration or, where a customs declaration is not required, an exit summary declaration.

18 OJ L 302, 19.10.1992, p. 1. 19 OJ L 253, 11.10.1993, p. 1.

EN 27 EN Article 28

1. The provision by nationals of Member States or from the territories of Member States of bunkering or ship supply services, or any other servicing of vessels, to Iranian vessels shall be prohibited where the providers of the service have information, including from the competent customs authorities on the basis of the pre-arrival and pre-departure information referred to in the previous Article, that provides reasonable grounds to believe that the vessels carry goods covered by the EU Common Military List or goods whose supply, sale, transfer or export is prohibited under this Regulation, unless the provision of such services is necessary for humanitarian purposes.

2. The provision by nationals of Member States, or from the territories of Member States, of engineering and maintenance services to Iranian cargo aircraft shall be prohibited, where the providers of the service have information, including from the competent customs authorities on the basis of the pre-arrival and pre-departure information referred to in the previous Article, that provides reasonable grounds to believe that the cargo aircraft carry goods covered by the EU Common Military List or goods the supply, sale, transfer or export of which is prohibited under this Regulation, unless the provision of such services is necessary for humanitarian and safety purposes.

3. The prohibitions in paragraphs 1 and 2 apply until the cargo has been inspected, and seized or disposed of if necessary, as the case may be. Chapter VII Restrictions on granting of certain claims

Article 29

1. No claims in connection with any contract or transaction the performance of which would have been affected, directly or indirectly, wholly or in part, by the measures imposed by Regulation (EC) No 423/2007 or this Regulation, including claims for indemnity or any other claim of this type, such as a claim for compensation or a claim under a guarantee, notably a claim for extension or payment of a bond, guarantee or indemnity, particularly a financial guarantee or financial indemnity, of whatever form, shall be satisfied, if they are made by:

(a) designated persons, entities or bodies listed in Annexes VII, VIII and IX;

(b) any other person, entity or body in Iran, including the Iranian government;

2. The performance of a contract or transaction shall be regarded as having been affected by the measures imposed by Regulation (EC) No 423/2007 or by this Regulation where the existence or content of the claim results directly or indirectly from those measures.

EN 28 EN 3. In any proceedings for the enforcement of a claim, the onus of proving that satisfying the claim is not prohibited by paragraph 1 shall be on the person seeking the enforcement of that claim.

4. This Article is without prejudice to the right of the persons, entities and bodies referred to in paragraph 1 to judicial review of the legality of the non-performance of contractual obligations in light of Regulation (EC) No 423/2007 or this Regulation. Chapter VIII General and final provisions

Article 30

1. Without prejudice to the applicable rules concerning reporting, confidentiality and professional secrecy, natural and legal persons, entities and bodies shall:

(a) supply immediately any information which would facilitate compliance with this Regulation, such as accounts and amounts frozen in accordance with Article 16, to the competent authorities of the Member States, as indicated in the websites listed in Annex V, where they are resident or located, and shall transmit such information, directly or through the Member States, to the Commission;

(b) cooperate with the competent authorities, as indicated in the websites listed in Annex V, in any verification of this information.

2. Any additional information directly received by the Commission shall be made available to the Member State concerned.

3. Any information provided or received in accordance with this Article shall be used only for the purposes for which it was provided or received.

Article 31

1. The freezing of funds and economic resources or the refusal to make funds or economic resources available, carried out in good faith on the basis that such action is in accordance with this Regulation, shall not give rise to liability of any kind on the part of the natural or legal person or entity or body implementing it, or its directors or employees, unless it is proved that the funds and economic resources were frozen or withheld as a result of negligence.

2. The prohibitions set out in Articles 5(1)(d), 5(1)(e), 9(b), 15, 16(3), 25(1)(a) and 26 shall not give rise to liability of any kind on the part of the natural or legal persons or entities concerned, if they did not know, and had no reasonable cause to suspect, that their actions would infringe these prohibitions.

3. The disclosure in good faith, as provided for in Articles 21, 22 and 23 by an institution or by a person covered by this Regulation or an employee or director of

EN 29 EN such an institution, of the information referred to in Articles 21, 22 and 23 shall not involve the institution or person or its directors or employees in liability of any kind.

Article 32

The Commission and Member States shall immediately inform each other of the measures taken under this Regulation and shall supply each other with any other relevant information at their disposal in connection with this Regulation, in particular information in respect of violations and enforcement problems and judgments handed down by national courts.

Article 33

1. The Commission shall:

(a) amend Annex II on the basis of determinations made by either the United Nations Security Council or the Sanctions Committee or on the basis of information supplied by Member States;

(b) amend Annex IV on the basis of information supplied by Member States;

(d) amend Annex VII on the basis of determinations made by either the United Nations Security Council or the Sanctions Committee.

2. The Council, acting by qualified majority, shall establish, review and amend the list of persons, entities and bodies referred to in Article 16(2) and in full accordance with the determinations made by the Council in respect of Annex II to Council Decision 2010/413/CFSP. The list in Annex VIII shall be reviewed in regular intervals and at least every 12 months.

3. The Commission and the Council shall state individual and specific reasons for the decisions taken pursuant to paragraph 1(d) and paragraph 2, respectively, providing the natural or legal person, entity or body concerned with an opportunity to express his, her or its view on the matter. Where observations are submitted, the Commission or the Council shall review its decision and inform the person, entity or body accordingly.

4. The Commission shall process personal data in order to carry out its tasks under this Regulation. These tasks include:

(a) preparing amendments of Annex VII to this Regulation;

(b) consolidating the contents of Annex VII and VIII in the electronic, consolidated list of persons, groups and entities subject to EU financial sanctions available on the Commission website20;

20 http://ec.europa.eu/external_relations/cfsp/sanctions/consol-list_en.htm

EN 30 EN (d) processing of information on the impact of the measures of this Regulation such as the value of frozen funds and information on authorisations granted by the competent authorities.

5. The Council shall process personal data in order to carry out its tasks under this Regulation. These tasks include:

(a) preparing amendments of Annex VIII to this Regulation; and

(b) processing of information concerning the grounds for listing.

6. The Council and the Commission may process relevant data relating to criminal offences committed by listed natural persons, and to criminal convictions or security measures concerning such persons, only to the extent that such processing is necessary for the preparation of grounds for listing and review of the views on it expressed by the natural person concerned, subject to appropriate specific safeguards. Such data shall not be made public or exchanged.

7. For the purposes of this Regulation, the Council and Commission units listed in Annex V are designated as “controller” for the Institution concerned within the meaning of Article 2(d) of Regulation (EC) No 45/2001, in order to ensure that the natural persons concerned can exercise their rights under Regulation (EC) No 45/2001.

Article 34

1. Member States shall lay down the rules on penalties applicable to infringements of this Regulation and shall take all measures necessary to ensure that they are implemented. The penalties provided for shall be effective, proportionate and dissuasive.

2. Member States shall notify the Commission of those rules without delay after the entry into force of this Regulation and shall notify it of any subsequent amendment.

Article 35

1. Member States shall designate the competent authorities referred to in this Regulation and identify them in the websites listed in Annex V. Member States shall notify the Commission of any changes to the addresses of their websites listed in Annex V before such changes take effect.

2. Member States shall notify the Commission of their competent authorities, including the contact details of those competent authorities, without delay after the entry into force of this Regulation, and shall notify it of any subsequent amendment.

3. Where this Regulation sets out a requirement to notify, inform or otherwise communicate with the Commission, the address and other contact details to be used for such communication shall be those indicated in Annex V.

EN 31 EN Article 36

This Regulation shall apply:

(a) within the territory of the Union, including its airspace;

(b) on board any aircraft or any vessel under the jurisdiction of a Member State;

(d) to any legal person, entity or body which is incorporated or constituted under the law of a Member State;

(e) to any legal person, entity or body in respect of any business done in whole or in part within the Union.

Article 37

Regulation (EC) No 423/2007 is repealed. References to the repealed regulation shall be construed as references to this regulation.

Article 38

This Regulation shall enter into force on the day of its publication in the Official Journal of the European Union.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels, […]

For the Council The President […]

EN 32 EN ANNEX I

PART A

Goods and technology referred to in Articles 2(1)(a), 2(2), 4, 5(1)(b) and 5(1)(d)

This Annex comprises all goods and technology listed in Annex I to Regulation (EC) No 428/2009, as defined therein, except the following:

Item from Description Annex I to Regulation (EC) No 428/2009

5A001 Telecommunications systems, equipment, components and accessories as follows:

a. Any type of telecommunications equipment having any of the following characteristics, functions or features:

1. Specially designed to withstand transitory electronic effects or electromagnetic pulse effects, both arising from a nuclear explosion;

2. Specially hardened to withstand gamma, neutron or ion radiation; or

3. Specially designed to operate outside the temperature range from 218 K (-55°C) to 397 K (124°C);

Note: 5A001.a.3. applies only to electronic equipment.

Note: 5A001.a.2. and 5A001.a.3. do not control equipment designed or modified for use on board satellites.

b. Telecommunication systems and equipment, and specially designed components and accessories therefor, having any of the following characteristics, functions or features:

1. Being underwater untethered communications systems having any of the following:

a. An acoustic carrier frequency outside the range from 20 kHz to 60 kHz;

b. Using an electromagnetic carrier frequency below 30 kHz;

c. Using electronic beam steering techniques; or

d. Using "lasers" or light-emitting diodes (LEDs) with an output wavelength greater than 400 nm and less than 700

EN 33 EN nm, in a "local area network";

2. Being radio equipment operating in the 1.5 MHz to 87.5 MHz band and having all of the following:

a. Automatically predicting and selecting frequencies and "total digital transfer rates" per channel to optimise the transmission; and

b. Incorporating a linear power amplifier configuration having a capability to support multiple signals simultaneously at an output power of 1 kW or more in the frequency range of 1.5 MHz or more but less than 30 MHz, or 250 W or more in the frequency range of 30 MHz or more but not exceeding 87.5 MHz, over an "instantaneous bandwidth" of one octave or more and with an output harmonic and distortion content of better than -80 dB;

3. Being radio equipment employing "spread spectrum" techniques, including "frequency hopping" techniques, other than those specified in 5A001.b.4. and having any of the following:

a. User programmable spreading codes; or

b. A total transmitted bandwidth which is 100 or more times the bandwidth of any one information channel and in excess of 50 kHz;

Note: 5A001.b.3.b. does not control radio equipment specially designed for use with civil cellular radio- communications systems .

Note: 5A001.b.3 does not control equipment designed to operate at an output power of 1 W or less.

4. Being radio equipment employing ultra-wideband modulation techniques, having user programmable channelising codes, scrambling codes or network identification codes and having any of the following:

a. A bandwidth exceeding 500 MHz; or

b. A "fractional bandwidth" of 20% or more;

5. Being digitally controlled radio receivers having all of the following:

a. More than 1,000 channels;

b. A "frequency switching time" of less than 1 ms;

c. Automatic searching or scanning of a part of the

EN 34 EN electromagnetic spectrum; and

d. Identification of the received signals or the type of transmitter; or

Note: 5A001.b.5. does not control radio equipment specially designed for use with civil cellular radio- communications systems.

6. Employing functions of digital "signal processing" to provide 'voice coding' output at rates of less than 2,400 bit/s:

Technical Notes:

1. For variable rate 'voice coding', 5A001.b.6. applies to the 'voice coding' output of continuous speech.

2. For the purposes of 5A001.b.6., 'voice coding' is defined as the technique to take samples of human voice and then convert these samples into a digital signal, taking into account specific characteristics of human speech.

c. Optical fibre communication cables, optical fibres and accessories, as follows:

1. Optical fibres of more than 500 m in length, and specified by the manufacturer as being capable of withstanding a 'proof test' tensile stress of 2 x 109 N/m2 or more;

Technical Note:

'Proof Test': on-line or off-line production screen testing that dynamically applies a prescribed tensile stress over a 0.5 to 3 m length of fibre at a running rate of 2 to 5 m/s while passing between capstans approximately 150 mm in diameter. The ambient temperature is a nominal 293 K (20oC) and relative humidity 40%. Equivalent national standards may be used for executing the proof test.

2. Optical fibre cables and accessories, designed for underwater use;

Note: 5A001.c.2. does not control standard civil telecommunication cables and accessories.

N.B. 1: For underwater umbilical cables, and connectors therefor, see 8A002.a.3.

N.B. 2: For fibre-optic hull penetrators or connectors, see 8A002.c.

d. "Electronically steerable phased array antennae" operating above 31.8

EN 35 EN GHz;

Note: 5A001.d. does not control "electronically steerable phased array antennae" for landing systems with instruments meeting ICAO standards covering Microwave Landing Systems (MLS).

e. Radio direction finding equipment operating at frequencies above 30 MHz and having all of the following, and specially designed components therefor:

1. "Instantaneous bandwidth" of 10 MHz or more; and

2. Capable of finding a Line Of Bearing (LOB) to non- cooperating radio transmitters with a signal duration of less than 1 ms;

f. Jamming equipment specially designed or modified to intentionally and selectively interfere with, deny, inhibit, degrade or seduce mobile telecommunications services and perform any of the following, and specially designed components therefore:

1. Simulate the functions of Radio Access Network (RAN) equipment;

2. Detect and exploit specific characteristics of the mobile telecommunications protocol employed (e.g., GSM); or

3. Exploit specific characteristics of the mobile telecommunications protocol employed (e.g., GSM);

N.B.: For GNSS jamming equipment see Military Goods Controls.

g. Passive Coherent Location (PCL) systems or equipment, specially designed for detecting and tracking moving objects by measuring reflections of ambient radio frequency emissions, supplied by non- radar transmitters:

Technical Note:

Non-radar transmitters may include commercial radio, television or cellular telecommunications base stations.

Note: 5A001.g. does not control any of the following:

a. Radio-astronomical equipment; or

b. Systems or equipment, that require any radio transmission from the target.

h. Electronic equipment designed or modified to prematurely activate or prevent the initiation of Radio Controlled Improvised Explosive

EN 36 EN Devices (RCIED):

N.B.: SEE ALSO MILITARY GOODS CONTROLS.

5A002 "Information security" systems, equipment and components therefor, as follows:

a. Systems, equipment, application specific "electronic assemblies", modules and integrated circuits for "information security", as follows and other specially designed components therefor:

N.B.: For the control of Global Navigation Satellite Systems (GNSS) receiving equipment containing or employing decryption (i.e., GPS or GLONASS), see 7A005.

1. Designed or modified to use "cryptography" employing digital techniques performing any cryptographic function other than authentication or digital signature and having any of the following:

Technical Notes:

1. Authentication and digital signature functions include their associated key management function.

2. Authentication includes all aspects of access control where there is no encryption of files or text except as directly related to the protection of passwords, Personal Identification Numbers (PINs) or similar data to prevent unauthorised access.

3. "Cryptography" does not include "fixed" data compression or coding techniques.

Note: 5A002.a.1. includes equipment designed or modified to use "cryptography" employing analogue principles when implemented with digital techniques.

a. A "symmetric algorithm" employing a key length in excess of 56 bits; or

b. An "asymmetric algorithm" where the security of the algorithm is based on any of the following:

1. Factorisation of integers in excess of 512 bits (e.g., RSA);

2. Computation of discrete logarithms in a multiplicative group of a finite field of size greater than 512 bits (e.g., Diffie-Hellman over Z/pZ); or

3. Discrete logarithms in a group other than mentioned

EN 37 EN in 5A002.a.1.b.2. in excess of 112 bits (e.g., Diffie- Hellman over an elliptic curve);

2. Designed or modified to perform cryptanalytic functions;

3. Not used;

4. Specially designed or modified to reduce the compromising emanations of information-bearing signals beyond what is necessary for health, safety or electromagnetic interference standards;

5. Designed or modified to use cryptographic techniques to generate the spreading code for "spread spectrum" systems, other than those specified in 5A002.a.6., including the hopping code for "frequency hopping" systems;

6. Designed or modified to use cryptographic techniques to generate channelising codes, scrambling codes or network identification codes, for systems using ultra-wideband modulation techniques and having any of the following:

a. A bandwidth exceeding 500 MHz; or

b. A "fractional bandwidth" of 20% or more;

7. Non-cryptographic information and communications technology (ICT) security systems and devices evaluated to an assurance level exceeding class EAL-6 (evaluation assurance level) of the Common Criteria (CC) or equivalent;

8. Communications cable systems designed or modified using mechanical, electrical or electronic means to detect surreptitious intrusion;

9. Designed or modified to use "quantum cryptography".

Technical Note:

"Quantum cryptography" is also known as Quantum Key Distribution (QKD).

Note: 5A002 does not control any of the following:

a. "Personalised smart cards" having any of the following:

1. Where the cryptographic capability is restricted for use in equipment or systems excluded from control under entries b. to g. of this Note; or

2. For general public-use applications where the cryptographic capability is not user-accessible and it is specially designed and limited to allow protection

EN 38 EN of personal data stored within;

N.B. If a "personalised smart card" has multiple functions, the control status of each function is assessed individually.

b. Receiving equipment for radio broadcast, pay television or similar restricted audience broadcast of the consumer type, without digital encryption except that exclusively used for sending the billing or programme-related information back to the broadcast providers;

c. Equipment where the cryptographic capability is not user- accessible and which is specially designed and limited to allow any of the following:

1. Execution of copy-protected "software";

2. Access to any of the following:

a. Copy-protected contents stored on read-only media; or

b. Information stored in encrypted form on media (e.g., in connection with the protection of intellectual property rights) when the media is offered for sale in identical sets to the public;

3. Copying control of copyright protected audio/video data; or

4. Encryption and/or decryption for protection of libraries, design attributes, or associated data for the design of semiconductor devices or integrated circuits;

d. Cryptographic equipment specially designed and limited for banking use or 'money transactions';

Technical Note:

'Money transactions' in 5A002 Note d. includes the collection and settlement of fares or credit functions.

e. Portable or mobile radiotelephones for civil use (e.g., for use with commercial civil cellular radio communication systems) that are not capable of transmitting encrypted data directly to another radiotelephone or equipment (other than Radio Access Network (RAN) equipment), nor of passing encrypted data through RAN equipment (e.g., Radio Network Controller (RNC) or Base Station Controller (BSC));

EN 39 EN f. Cordless telephone equipment not capable of end-to-end encryption where the maximum effective range of unboosted cordless operation (i.e. a single, unrelayed hop between terminal and home base station) is less than 400 metres according to the manufacturer's specifications; or

g. Portable or mobile radiotelephones and similar client wireless devices for civil use, that implement only published or commercial cryptographic standards (except for anti-piracy functions, which may be non-published) and also meet the provisions of paragraphs b. to d. of the Cryptography Note (Note 3 in Category 5 - Part 2), that have been customised for a specific civil industry application with features that do not affect the cryptographic functionality of these original non- customised devices;

h. Equipment specially designed for the servicing of portable or mobile radiotelephones and similar client wireless devices that meet all the provisions of the Cryptography Note (Note 3 in Category 5, Part 2), where the servicing equipment meets all of the following:

1. The cryptographic functionality of the servicing equipment cannot easily be changed by the user of the equipment;

2. The servicing equipment is designed for installation without further substantial support by the supplier; and

3. The servicing equipment cannot change the cryptographic functionality of the device being serviced;

i. Wireless "personal area network" equipment that implement only published or commercial cryptographic standards and where the cryptographic capability is limited to a nominal operating range not exceeding 30 metres according to the manufacturer’s specifications.

5B001 Telecommunications test, inspection and production equipment, components and accessories, as follows:

a. Equipment and specially designed components or accessories therefor, specially designed for the "development", "production" or "use" of equipment, functions or features, specified in 5A001;

Note: 5B001.a. does not control optical fibre characterization equipment.

EN 40 EN b. Equipment and specially designed components or accessories therefor, specially designed for the "development" of any of the following telecommunication transmission or switching equipment:

1. Equipment employing digital techniques designed to operate at a "total digital transfer rate" exceeding 15 Gbit/s;

Technical Note:

For switching equipment the "total digital transfer rate" is measured at the highest speed port or line.

2. Equipment employing a "laser" and having any of the following:

a. A transmission wavelength exceeding 1750 nm;

b. Performing "optical amplification" using praseodymium- doped fluoride fibre amplifiers (PDFFA);

c. Employing coherent optical transmission or coherent optical detection techniques (also called optical heterodyne or homodyne techniques); or

d. Employing analogue techniques and having a bandwidth exceeding 2.5 GHz;

Note: 5B001.b.2.d. does not control equipment specially designed for the "development" of commercial TV systems.

3. Equipment employing "optical switching";

4. Radio equipment employing Quadrature-Amplitude-Modulation (QAM) techniques above level 256; or

5. Equipment employing "common channel signalling" operating in non-associated mode of operation.

5B002 "Information security" test, inspection and "production" equipment, as follows:

a. Equipment specially designed for the "development" or "production" of equipment specified in 5A002 or 5B002.b.;

b. Measuring equipment specially designed to evaluate and validate the "information security" functions of the equipment specified in 5A002 or "software" specified in 5D002.a. or 5D002.c.

5D001 "Software" as follows:

a. "Software" specially designed or modified for the "development", "production" or "use" of equipment, functions or features, specified in 5A001;

EN 41 EN b. "Software" specially designed or modified to support "technology" specified in 5E001;

c. Specific "software" specially designed or modified to provide characteristics, functions or features of equipment, specified in 5A001 or 5B001;

d. "Software" specially designed or modified for the "development" of any of the following telecommunication transmission or switching equipment:

1. Equipment employing digital techniques designed to operate at a "total digital transfer rate" exceeding 15 Gbit/s;

Technical Note:

For switching equipment the "total digital transfer rate" is measured at the highest speed port or line.

2. Equipment employing a "laser" and having any of the following:

a. A transmission wavelength exceeding 1,750 nm; or

b. Employing analogue techniques and having a bandwidth exceeding 2.5 GHz;

Note: 5D001.d.2.b. does not control "software" specially designed or modified for the "development" of commercial TV systems.

3. Equipment employing "optical switching"; or

4. Radio equipment employing Quadrature-Amplitude-Modulation (QAM) techniques above level 256.

5D002 "Software" as follows:

a. "Software" specially designed or modified for the "development", "production" or "use" of equipment specified in 5A002 or "software" specified in 5D002.c.;

b. "Software" specially designed or modified to support "technology" specified in 5E002;

c. Specific "software", as follows:

1. "Software" having the characteristics, or performing or simulating the functions of the equipment, specified in 5A002;

2. "Software" to certify "software" specified in 5D002.c.1.

Note: 5D002 does not control "software" as follows:

EN 42 EN a. "Software" required for the "use" of equipment excluded from control by the Note to 5A002;

b. "Software" providing any of the functions of equipment excluded from control by the Note to 5A002.

5E001 "Technology" as follows:

a. "Technology" according to the General Technology Note for the "development", "production" or "use" (excluding operation) of equipment, functions or features specified in 5A001 or "software" specified in 5D001.a.;

b. Specific "technology" as follows:

1. "Required" "technology" for the "development" or "production" of telecommunications equipment specially designed to be used on board satellites;

2. "Technology" for the "development" or "use" of "laser" communication techniques with the capability of automatically acquiring and tracking signals and maintaining communications through exoatmosphere or sub-surface (water) media;

3. "Technology" for the "development" of digital cellular radio base station receiving equipment whose reception capabilities that allow multi-band, multi-channel, multi-mode, multi-coding algorithm or multi-protocol operation can be modified by changes in "software";

4. "Technology" for the "development" of "spread spectrum" techniques, including "frequency hopping" techniques;

c. "Technology" according to the General Technology Note for the "development" or "production" of any of the following:

1. Equipment employing digital techniques designed to operate at a "total digital transfer rate" exceeding 15 Gbit/s;

Technical Note:

For switching equipment the "total digital transfer rate" is measured at the highest speed port or line.

2. Equipment employing a "laser" and having any of the following:

a. A transmission wavelength exceeding 1,750 nm;

b. Performing "optical amplification" using Praseodymium- Doped Fluoride Fibre Amplifiers (PDFFA);

c. Employing coherent optical transmission or coherent

EN 43 EN optical detection techniques (also called optical heterodyne or homodyne techniques);

d. Employing wavelength division multiplexing techniques of optical carriers at less than 100 GHz spacing; or

e. Employing analogue techniques and having a bandwidth exceeding 2.5 GHz;

Note: 5E001.c.2.e. does not control "technology" for the "development" or "production" of commercial TV systems.

N.B.: For "technology" for the "development" or "production" of non-telecommunications equipment employing a laser, see 6E.

3. Equipment employing "optical switching";

4. Radio equipment having any of the following:

a. Quadrature-Amplitude-Modulation (QAM) techniques above level 256;

b. Operating at input or output frequencies exceeding 31.8 GHz; or

Note: 5E001.c.4.b. does not control "technology" for the "development" or "production" of equipment designed or modified for operation in any frequency band which is "allocated by the ITU" for radio- communications services, but not for radio- determination.

c. Operating in the 1.5 MHz to 87.5 MHz band and incorporating adaptive techniques providing more than 15 dB suppression of an interfering signal;

5. Equipment employing "common channel signalling" operating in non-associated mode of operation; or

6. Mobile equipment having all of the following:

a. Operating at an optical wavelength greater than or equal to 200 nm and less than or equal to 400 nm; and

b. Operating as a "local area network";

d. "Technology" according to the General Technology Note for the "development" or "production" of Microwave Monolithic Integrated Circuit (MMIC) power amplifiers specially designed for telecommunications and having any of the following:

EN 44 EN 1. Rated for operation at frequencies exceeding 3.2 GHz up to and including 6 GHz and with an average output power greater than 4 W (36 dBm) with a "fractional bandwidth" greater than 15%;

2. Rated for operation at frequencies exceeding 6 GHz up to and including 16 GHz and with an average output power greater than 1 W (30 dBm) with a "fractional bandwidth" greater than 10%;

3. Rated for operation at frequencies exceeding 16 GHz up to and including 31.8 GHz and with an average output power greater than 0.8 W (29 dBm) with a "fractional bandwidth" greater than 10%;

4. Rated for operation at frequencies exceeding 31.8 GHz up to and including 37.5 GHz;

5. Rated for operation at frequencies exceeding 37.5 GHz up to and including 43.5 GHz and with an average output power greater than 0.25 W (24 dBm) with a "fractional bandwidth" greater than 10%; or

6. Rated for operation at frequencies exceeding 43.5 GHz;

e. "Technology" according to the General Technology Note for the "development" or "production" of electronic devices and circuits, specially designed for telecommunications and containing components manufactured from "superconductive" materials, specially designed for operation at temperatures below the "critical temperature" of at least one of the "superconductive" constituents and having any of the following:

1. Current switching for digital circuits using "superconductive" gates with a product of delay time per gate (in seconds) and power dissipation per gate (in watts) of less than 10-14 J; or

2. Frequency selection at all frequencies using resonant circuits with Q-values exceeding 10,000.

5E002 "Technology" according to the General Technology Note for the "development", "production" or "use" of equipment specified in 5A002, 5B002 or "software" specified in 5D002.a. or 5D002.c.

PART B

Article 6 applies to the following goods:

Entry of Description Annex I

0A001 "Nuclear reactors" and specially designed or prepared equipment and

EN 45 EN components therefor, as follows:

a. "Nuclear reactors";

b. Metal vessels, or major shop-fabricated parts therefor, including the reactor vessel head for a reactor pressure vessel, specially designed or prepared to contain the core of a "nuclear reactor";

c. Manipulative equipment specially designed or prepared for inserting or removing fuel in a "nuclear reactor";

d. Control rods specially designed or prepared for the control of the fission process in a "nuclear reactor", support or suspension structures therefor, rod drive mechanisms and rod guide tubes;

e. Pressure tubes specially designed or prepared to contain fuel elements and the primary coolant in a "nuclear reactor" at an operating pressure in excess of 5.1 MPa;

f. Zirconium metal and alloys in the form of tubes or assemblies of tubes in which the ratio of hafnium to zirconium is less than 1:500 parts by weight, specially designed or prepared for use in a "nuclear reactor";

g. Coolant pumps specially designed or prepared for circulating the primary coolant of "nuclear reactors";

h. 'Nuclear reactor internals' specially designed or prepared for use in a "nuclear reactor", including support columns for the core, fuel channels, thermal shields, baffles, core grid plates, and diffuser plates;

Note: In 0A001.h. 'nuclear reactor internals' means any major structure within a reactor vessel which has one or more functions such as supporting the core, maintaining fuel alignment, directing primary coolant flow, providing radiation shields for the reactor vessel, and guiding in-core instrumentation.

i. Heat exchangers (steam generators) specially designed or prepared for use in the primary coolant circuit of a "nuclear reactor";

j. Neutron detection and measuring instruments specially designed or prepared for determining neutron flux levels within the core of a "nuclear reactor".

0C002 "Special fissile materials"

Note: 0C002 does not control four "effective grammes" or less when contained in a sensing component in instruments.

EN 46 EN ANNEX II

Goods and technology referred to in Article 2(1) (a), 2(3) 4, 5(1)(b) and 5(1)(d)

INTRODUCTORY NOTES

1. Unless otherwise stated, reference numbers used in the column entitled ‘Description’ refer to the descriptions of dual-use items and technology set out in Annex I to Regulation (EC) No 428/2009.

2. A reference number in the column entitled ‘Related item from Annex I to Regulation (EC) No 428/2009’ means that the characteristics of the item described in the column ‘Description’ lie outside the parameters set out in the description of the dual-use entry referred to.

3. Definitions of terms between ‘single quotation marks’ are given in a technical note to the relevant item.

4. Definitions of terms between “double quotation marks” can be found in Annex I to Regulation (EC) No 428/2009.

General Notes

1. The object of the prohibitions contained in this Annex should not be defeated by the export of any non-prohibited goods (including plant) containing one or more prohibited components when the prohibited component or components are the principal element of the goods and can feasibly be removed or used for other purposes.

N.B.: In judging whether the prohibited component or components are to be considered the principal element, it is necessary to weigh the factors of quantity, value and technological know-how involved and other special circumstances which might establish the prohibited component or components as the principal element of the goods being procured.

2. Goods specified in this Annex include both new and used goods.

General Technology Note (GTN)

(To be read in conjunction with Section II.B.)

1. The sale, supply, transfer or export of ‘technology’ which is ‘required’ for the ‘development’, ‘production’ or ‘use’ of goods the sale, supply, transfer or export of which is prohibited in Part A (Goods) below, is prohibited in accordance with the provisions of Section II.B.

2. The ‘technology’‘required’ for the ‘development’, ‘production’ or ‘use’ of prohibited goods remains under prohibition even when applicable to non-prohibited goods.

3. Prohibitions do not apply to that ‘technology’ which is the minimum necessary for the installation, operation, maintenance (checking) and repair of those goods which

EN 47 EN are not prohibited or the export of which has been authorised in accordance with Regulation (EC) No 423/2007 or this Regulation.

4. Prohibitions on ‘technology’ transfer do not apply to information ‘in the public domain’, to ‘basic scientific research’ or to the minimum necessary information for patent applications.

II.A. GOODS

A0. Nuclear Materials, Facilities, and Equipment

Related item from Annex I to No Description Regulation (EC) No 428/2009

II.A0.001 Hollow cathode lamps as follows: —

a. Iodine hollow cathode lamps with windows in pure silicon or quartz

b. Uranium hollow cathode lamps

II.A0.002 Faraday isolators in the wavelength range 500 nm – 650 nm —

II.A0.003 Optical gratings in the wavelength range 500 nm – 650 nm —

II.A0.004 Optical fibres in the wavelength range 500 nm – 650 nm — coated with anti-reflecting layers in the wavelength range 500 nm – 650 nm and having a core diameter greater than 0,4 mm but not exceeding 2 mm

II.A0.005 Nuclear reactor vessel components and testing equipment, 0A001 other than those specified in 0A001, as follows:

1. Seals

2. Internal components

3. Sealing, testing and measurement equipment

II.A0.006 Nuclear detection systems for detection, identification or 0A001.j quantification of radioactive materials and radiation of nuclear origin and specially designed components thereof 1A004.c other than those specified in 0A001.j. or 1A004.c.

II.A0.007 Bellows-sealed valves made of aluminium alloy or stainless 0B001.c.6 steel type 304, 304L or 316L. 2A226 Note: This item does not cover bellow valves defined in 0B001.c.6 and 2A226.

EN 48 EN II.A0.008 Laser mirrors, other than those specified in 6A005.e, 0B001.g.5, consisting of substrates having a thermal expansion 6A005.e coefficient of 10-6K-1 or less at 20°C (e.g. fused silica or sapphire).

Note: This item does not cover optical systems specially designed for astronomical applications, except if the mirrors contain fused silica.

II.A0.009 Laser lenses, other than those specified in 6A005.e.2, 0B001.g, consisting of substrates having a thermal expansion 6A005.e.2 coefficient of 10-6K-1 or less at 20°C (e.g. fused silica).

II.A0.010 Pipes, piping, flanges, fittings made of, or lined with, nickel 2B350 or nickel alloy containing more than 40 % nickel by weight, other than those specified in 2B350.h.1., in respect of pipes having an inner diameter smaller than 100 mm.

II.A0.012 Shielded enclosures for the manipulation, storage and 0B006 handling of radioactive substances (Hot cells).

II.A0.013 ‘Natural uranium’ or ‘depleted uranium’ or thorium in the 0C001 form of metal, alloy, chemical compound or concentrate and any other material containing one or more of the foregoing, other than those specified in 0C001.

II.A0.014 Detonation chambers having a capacity of explosion — absorption of more than 2.5kg TNT equivalent.

A1. Materials, chemicals, ‘microorganisms’ and ‘toxins’

Related item from Annex I to No Description Regulation (EC) No 428/2009

II.A1.001 Bis(2-ethylhexyl) phosphoric acid (HDEHP or D2HPA) – CAS 298-07-7 solvent in any quantity, with a purity greater than 90 %.

II.A1.002 Fluorine gas (Chemical Abstract Number (CAS): 7782-41- – 4), with a purity of at least 95 %.

II.A1.005 Electrolytic cells for fluorine production with an output 1B225 capacity greater than 100 g of fluorine per hour.

Note: This item does not cover electrolytic cells defined in item 1B225.

EN 49 EN II.A1.006 Catalysts, other than those prohibited by 1A225, containing 1B231, 1A225 platinum, palladium or rhodium, usable for promoting the hydrogen isotope exchange reaction between hydrogen and water for the recovery of tritium from heavy water or for the production of heavy water.

II.A1.007 Aluminium and its alloys, other than those specified in 1C002.b.4, 1C002.b.4 or 1C202.a, in crude or semi-fabricated form 1C202.a having either of the following characteristics:

a. Capable of an ultimate tensile strength of 460 MPa or more at 293 K (20 °C); or

b. Having a tensile strength of 415 MPa or more at 298 K (25 °C).

II.A1.008 Magnetic metals, of all types and of whatever form, having 1C003.a an initial relative permeability of 120 000 or more and a thickness between 0,05 and 0,1 mm.

II.A1.009 ‘Fibrous or filamentary materials’ or prepregs, as follows: 1C010.a

a. Carbon or aramid ‘fibrous or filamentary materials’ 1C010.b having either of the following characteristics: 1C210.a 1. A ‘specific modulus’ exceeding 10 × 106 m; or 1C210.b

2. A ‘specific tensile strength’ exceeding 17 × 104 m;

b. Glass ‘fibrous or filamentary materials’ having either of the following characteristics:

1. A ‘specific modulus’ exceeding 3,18 × 106 m; or

2. A ‘specific tensile strength’ exceeding 76,2 × 103 m;

c. Thermoset resin-impregnated continuous ‘yarns’, ‘rovings’, ‘tows’ or ‘tapes’ with a width of 15 mm or less (once prepregs), made from carbon or glass ‘fibrous or filamentary materials’ other than those specified in II.A1.010.a. or b.

Note: This item does not cover ‘fibrous or filamentary materials’ defined in items 1C010.a, 1C010.b, 1C210.a and 1C210.b.

II.A1.010 Resin-impregnated or pitch-impregnated fibres (prepregs), 1C010.e. metal or carboncoated fibres (preforms) or ‘carbon fibre

EN 50 EN preforms’, as follows: 1C210 a. Made from ‘fibrous or filamentary materials’ specified in II.A1.009 above;

b. Epoxy resin ‘matrix’ impregnated carbon ‘fibrous or filamentary materials’ (prepregs), specified in 1C010.a, 1C010.b or 1C010.c, for the repair of aircraft structures or laminates, of which the size of individual sheets does not exceed 50 cm × 90 cm;

c. Prepregs specified in 1C010.a, 1C010.b or 1C010.c, when impregnated with phenolic or epoxy resins having a glass transition temperature (Tg) less than 433 K (160 °C) and a cure temperature lower than the glass transition temperature.

Note: This item does not cover ‘fibrous or filamentary materials’ defined in item 1C010.e.

II.A1.011 Reinforced silicon carbide ceramic composites usable for 1C107 nose tips, re-entry vehicles, nozzle flaps, usable in ‘missiles’, other than those specified in 1C107.

II.A1.012 Maraging steels, other than those specified in 1C116 or 1C216 1C216, ‘capable of’ an ultimate tensile strength of 2050 MPa or more, at 293 K (20 °C).

Technical note:

The phrase ‘maraging steel capable of’ encompasses maraging steel before or after heat treatment.

II.A1.013 Tungsten, tantalum, tungsten carbide, tantalum carbide and 1C226 alloys, having both of the following characteristics:

a. In forms having a hollow cylindrical or spherical symmetry (including cylinder segments) with an inside diameter between 50 mm and 300 mm; and

b. A mass greater than 5 kg.

Note: This item does not cover tungsten, tungsten carbide and alloys defined in item 1C226.

II.A1.014 Elemental powders of cobalt, neodymium or samarium or — alloys or mixtures thereof containing at least 20 % by weight of cobalt, neodymium or samarium, with a particle size less than 200 µm.

II.A1.015 Pure tributyl phosphate (TBP) [CAS No 126-73-8] or any — mixture having a TBP content of more than 5 % by weight.

EN 51 EN II.A1.016 Maraging steel, other than those prohibited by 1C116, 1C216 — or II.A1.012

Technical Note:

Maraging steels are iron alloys generally characterised by high nickel, very low carbon content and the use of substitutional elements or precipitates to produce strengthening and age-hardening of the alloy.

II.A1.017 Metals, metal powders and material as follows: —

a. Tungsten and tungsten alloys, other than those prohibited by 1C117, in the form of uniform spherical or atomized particles of 500µm diameter or less with a tungsten content of 97 % by weight or more;

b. Molybdenum and molybdenum alloys, other than those prohibited by 1C117, in the form of uniform spherical or atomized particles of 500 µm diameter or less with a molybdenum content of 97 % by weight or more;

c. Tungsten materials in the solid form, other than those prohibited by 1C226, or II.A1.013 having material compositions as follows:

1. Tungsten and alloys containing 97 % by weight or more of tungsten;

2. Copper infiltrated tungsten containing 80 % by weight or more of tungsten; or

3. Silver infiltrated tungsten containing 80 % by weight or more of tungsten.

II.A1.018 Soft magnetic alloys having a chemical composition as — follows:

a) Iron content between 30 % and 60 %, and

b) Cobalt content between 40 % and 60 %.

II.A1.019 “Fibrous or filamentary materials” or prepregs, not — prohibited by Annex I or by Annex II (under II.A1.009, II.A1.010) of this Regulation, or not specified by Annex I of Regulation (EC) No 428/2009, as follows:

a) Carbon “fibrous or filamentary materials”;

Note: II.A1.019a. does not cover fabrics.

EN 52 EN b) Thermoset resin-impregnated continuous “yarns”, “rovings”, “tows”, or “tapes”, made from carbon “fibrous or filamentary materials”;

c) Polyacrylonitrile (PAN) continuous “yarns”, “rovings”, “tows” or “tapes”

A2. Materials Processing

Related item from Annex I to No Description Regulation (EC) No 428/2009

II.A2.001 Vibration test systems, equipment and components thereof, 2B116 other than those specified in 2B116:

a. Vibration test systems employing feedback or closed loop techniques and incorporating a digital controller, capable of vibrating a system at an acceleration equal to or greater than 0,1g rms between 0,1 Hz and 2 kHz and imparting forces equal to or greater than 50 kN, measured ‘bare table’;

b. Digital controllers, combined with specially designed vibration test ‘software’, with a real-time bandwidth greater than 5 kHz designed for use with vibration test systems specified in a.;

c. Vibration thrusters (shaker units), with or without associated amplifiers, capable of imparting a force equal to or greater than 50 kN, measured ‘bare table’, and usable in vibration test systems specified in a.;

d. Test piece support structures and electronic units designed to combine multiple shaker units in a system capable of providing an effective combined force equal to or greater than 50 kN, measured ‘bare table’, and usable in vibration systems specified in a.

Technical note:

‘Bare table’ means a flat table, or surface, with no fixture or fittings.

II.A2.002 Machine tools and components and numerical controls for 2B201.b

EN 53 EN machine tools, as follows: 2B001.c a. Machine tools for grinding having positioning accuracies with “all compensations available” equal to or less (better) than 15 µm according to ISO 230/2 (1988) (1) or national equivalents along any linear axis;

Note: This item does not cover machine tools for grinding defined in items 2B201.b and 2B001.c.

b. Components and numerical controls, specially designed for machine tools specified in 2B001, 2B201, or under a.

II.A2.003 Balancing machines and related equipment as follows: 2B119

a. Balancing machines, designed or modified for dental or other medical equipment, having all the following characteristics:

1. Not capable of balancing rotors/assemblies having a mass greater than 3 kg;

2. Capable of balancing rotors/assemblies at speeds greater than 12500 rpm;

3. Capable of correcting imbalance in two planes or more; and

4. Capable of balancing to a residual specific imbalance of 0,2 g × mm per kg of rotor mass;

b. Indicator heads designed or modified for use with machines specified in a. above.

Technical Note:

Indicator heads are sometimes known as balancing instrumentation.

II.A2.004 Remote manipulators that can be used to provide remote 2B225 actions in radiochemical separation operations or hot cells, other than those specified in 2B225, having either of the following characteristics:

a. A capability of penetrating a hot cell wall of 0,3 m or more (through the wall operation); or

b. A capability of bridging over the top of a hot cell

EN 54 EN wall with a thickness of 0,3 m or more (over the wall operation).

II.A2.006 Oxidation furnaces capable of operation at temperatures 2B226 above 400 °C 2B227 Note: This item does not cover tunnel kilns with roller or car conveyance, tunnel kilns with conveyor belt, pusher type kilns or shuttle kilns, specially designed for the production of glass, tableware ceramics or structural ceramics.

II.A2.007 “Pressure transducers”, other than those defined in 2B230, 2B230 capable of measuring absolute pressures at any point in the range 0 to 200 kPa and having both of the following characteristics:

a. Pressure sensing elements made of or protected by “Materials resistant to corrosion by uranium hexafluoride (UF6)”, and

b. Having either of the following characteristics:

1. A full scale of less than 200 kPa and an “accuracy” of better than ± 1 % of full scale; or

2. A full scale of 200 kPa or greater and an “accuracy” of better than 2 kPa.

II.A2.011 Centrifugal separators, capable of continuous separation 2B352.c without the propagation of aerosols and manufactured from:

1. Alloys with more than 25 % nickel and 20 % chromium by weight;

2. Fluoropolymers;

3. Glass (including vitrified or enamelled coating or glass lining);

4. Nickel or alloys with more than 40 % nickel by weight;

5. Tantalum or tantalum alloys;

6. Titanium or titanium alloys; or

EN 55 EN 7. Zirconium or zirconium alloys.

Note: This item does not cover centrifugal separators defined in item 2B352.c.

II.A2.012 Sintered metal filters made of nickel or nickel alloy with 2B352.d more than 40 % nickel by weight.

Note: This item does not cover filters defined in item 2B352.d.

II.A2.013 Spin-forming machines and flow-forming machines, other — than those controlled by 2B009, 2B109 or 2B209, having a roller force of more than 60 kN and specially designed components therefor.

Technical Note:

For the purpose of II.A2.013, machines combining the functions of spin-forming and flow-forming are regarded as flow-forming machines.

A3. Electronics

Related item from Annex I to No Description Regulation (EC) No 428/2009

II.A3.001 High voltage direct current power supplies having both of the 3A227 following characteristics:

a. Capable of continuously producing, over a time period of eight hours, 10 kV or more, with output power of 5 kW or more with or without sweeping; and

b. Current or voltage stability better than 0,1 % over a time period of four hours.

Note: This item does not cover power supplies defined in items 0B001.j.5 and 3A227.

II.A3.002 Mass spectrometers, other than those specified in 3A233 or 3A233 0B002.g, capable of measuring ions of 200 atomic mass units or more and having a resolution of better than 2 parts in 200, as follows, and ion sources thereof:

a. Inductively coupled plasma mass spectrometers

EN 56 EN (ICP/MS);

b. Glow discharge mass spectrometers (GDMS);

c. Thermal ionisation mass spectrometers (TIMS);

d. Electron bombardment mass spectrometers which have a source chamber constructed from, lined with or plated with ‘materials resistant to corrosion by uranium hexafluoride UF6’;

e. Molecular beam mass spectrometers having either of the following characteristics:

1. A source chamber constructed from, lined with or plated with stainless steel or molybdenum and equipped with a cold trap capable of cooling to 193 K (– 80°C) or less; or

2. A source chamber constructed from, lined with or plated with ‘materials resistant to corrosion by uranium hexafluoride (UF6)’;

f. Mass spectrometers equipped with a microfluorination ion source designed for actinides or actinide fluorides.

II.A3.003 Frequency changers or generators, other than those — prohibited by 0B001 or3A225, having all of the following characteristics, and specially designed components and software therefor:

a. Multiphase output capable of providing a power of 40 W or greater;

b. Capable of operating in the frequency range between 600 and 2000 Hz; and

c. Frequency control better (less) than 0,1 %.

Technical Note:

Frequency changers in II.A3.003 are also known as converters or inverters.

A6. Sensors and Lasers

Related item No Description from Annex I to Regulation (EC)

EN 57 EN No 428/2009

II.A6.001 Yttrium aluminium garnet (YAG) rods –

II.A6.002 Optical equipment and components, other than those 6A002 specified in 6A002, 6A004.b as follows: 6A004.b Infrared optics in the wavelength range 9000 nm – 17000 nm and components thereof, including cadmium telluride (CdTe) components.

II.A6.003 Wave front corrector systems for use with a laser beam 6A003 having a diameter exceeding 4 mm, and specially designed components thereof, including control systems, phase front sensors and ‘deformable mirrors’ including bimorph mirrors.

Note: This item does not cover mirrors defined in 6A004.a, 6A005.e and 6A005.f.

II.A6.004 Argon ion “lasers” having an average output power equal to 6A005.a.6 or greater than 5 W. 6A205.a Note: This item does not cover argon ion ‘lasers’ defined in items 0B001.g.5, 6A005 and 6A205.a.

II.A6.005 Semiconductor “lasers” and components thereof, as follows: 6A005.b

a. Individual semiconductor “lasers” with an output power greater than 200 mW each, in quantities larger than 100;

b. Semiconductor “laser” arrays having an output power greater than 20 W.

Notes:

1. Semiconductor “lasers” are commonly called “laser” diodes.

2. This item does not cover “lasers” defined in items 0B001.g.5, 0B001.h.6 and 6A005.b.

3. This item does not cover “laser” diodes with a wavelength in the range 1200 nm – 2000 nm.

II.A6.006 Tunable semiconductor “lasers” and tunable semiconductor 6A005.b ‘laser’ arrays, of a wavelength between 9 µm and 17 µm, as well as array stacks of semiconductor ‘lasers’ containing at least one tunable semiconductor ‘laser’ array of such wavelength.

Notes:

EN 58 EN 1. Semiconductor “lasers” are commonly called “laser” diodes.

2. This item does not cover semiconductor “lasers” defined in items 0B001.h.6 and 6A005.b

II.A6.007 Solid state “tunable” “lasers” and specially designed 6A005.c.1 components thereof as follows:

a. Titanium-sapphire lasers,

b. Alexandrite lasers.

Note: This item does not cover titanium-sapphire and alexandrite lasers defined in items 0B001.g.5, 0B001.h.6 and 6A005.c.1.

II.A6.008 Neodymium-doped (other than glass) “lasers”, having an 6A005.c.2 output wavelength greater than 1000 nm but not exceeding 1100 nm and output energy exceeding 10 J per pulse.

Note: This item does not cover neodymium-doped (other than glass) ‘lasers’ defined in item 6A005.c.2.b.

II.A6.009 Components of acousto-optics, as follows: 6A203.b.4.c

a. Framing tubes and solid-state imaging devices having a recurrence frequency equal to or exceeding 1kHz;

b. Recurrence frequency supplies;

c. Pockels cells.

II.A6.010 Radiation-hardened cameras, or lenses thereof, other than 6A203.c those specified in 6A203.c., specially designed, or rated as radiation-hardened, to withstand a total radiation dose greater than 50 × 103 Gy(silicon) (5 × 106 rad (silicon)) without operational degradation.

Technical note:

The term Gy(silicon) refers to the energy in Joules per kilogram absorbed by an unshielded silicon sample when exposed to ionising radiation.

II.A6.011 Tunable pulsed dye laser amplifiers and oscillators, having 6A205.c all of the following characteristics:

1. Operating at wavelengths between 300 nm and 800 nm;

EN 59 EN 2. An average output power greater than 10 W but not exceeding 30 W;

3. A repetition rate greater than 1 kHz; and

4. Pulse width less than 100 ns.

Notes:

1. This item does not cover single mode oscillators.

2. This item does not cover tunable pulsed dye laser amplifiers and oscillators defined in item 6A205.c, 0B001.g.5 and 6A005.

II.A6.012 Pulsed carbon dioxide “lasers” having all of the following 6A205.d characteristics:

1. Operating at wavelengths between 9000 nm and 11000 nm;

2. A repetition rate greater than 250 Hz;

3. An average output power greater than 100 W but not exceeding 500 W; and

4. Pulse width less than 200 ns.

Note: This item does not cover pulsed carbon dioxide laser amplifiers and oscillators defined in item 6A205.d., 0B001.h.6. and 6A005.d.

A7. Navigation and Avionics

Related item from Annex I to No Description Regulation (EC) No 428/2009

II.A7.001 Inertial navigation systems and specially designed 7A003 components thereof, as follows: 7A103 I. Inertial navigation systems which are certified for use on “civil aircraft” by civil authorities of a State participating in the Wassenaar Arrangement, and specially designed components thereof, as follows:

a. Inertial navigation systems (INS) (gimballed or strapdown) and inertial equipment designed for “aircraft”, land vehicle, vessels (surface or

EN 60 EN underwater) or ‘spacecraft’ for attitude, guidance or control, having any of the following characteristics, and specially designed components thereof:

1. Navigation error (free inertial) subsequent to normal alignment of 0,8 nautical mile per hour (nm/hr) 'Circular Error Probable' (CEP) or less (better); or

2. Specified to function at linear acceleration levels exceeding 10 g;

b. Hybrid Inertial Navigation Systems embedded with Global Navigation Satellite Systems(s) (GNSS) or with “Data-Based Referenced Navigation” (“DBRN”) System(s) for attitude, guidance or control, subsequent to normal alignment, having an INS navigation position accuracy, after loss of GNSS or “DBRN” for a period of up to four minutes, of less (better) than 10 metres 'Circular Error Probable' (CEP) ;

c. Inertial Equipment for Azimuth, Heading, or North Pointing having any of the following characteristics, and specially designed components thereof:

1. Designed to have an Azimuth, Heading, or North Pointing accuracy equal to, or less (better) than 6 arc/ minutes RMS at 45 degrees latitude; or

2. Designed to have a non-operating shock level of at least 900 g at a duration of at least 1 msec.

Note: The parameters of I.a. and I.b. are applicable with any of the following environmental conditions:

1. Input random vibration with an overall magnitude of 7,7 g rms in the first half hour and a total test duration of one and a half hours per axis in each of the three perpendicular axes, when the random vibration meets the following:

a. A constant power spectral density (PSD) value of 0,04 g2/Hz over a frequency interval of 15 to 1000

EN 61 EN Hz; and

b. The PSD attenuates with a frequency from 0,04 g2/Hz to 0,01 g2/Hz over a frequency interval from 1000 to 2000 Hz;

2. A roll and yaw rate equal to or greater than +2,62 radian/s (150 deg/s); or

3. According to national standards equivalent to 1. or 2. above.

Technical Notes:

1. I.b. refers to systems in which an INS and other independent navigation aids are built into a single unit (embedded) in order to achieve improved performance.

2. 'Circular Error Probable' (CEP) – In a circular normal distribution, the radius of the circle containing 50 percent of the individual measurements being made, or the radius of the circle within which there is a 50 percent probability of being located.

II. Theodolite systems incorporating inertial equipment specially designed for civil surveying purposes and designed to have an Azimuth, Heading, or North Pointing accuracy equal to, or less (better) than 6 arc minutes RMS at 45 degrees latitude, and specially designed components thereof.

III. Inertial or other equipment using accelerometers specified in 7A001 or 7A101, where such accelerometers are specially designed and developed as MWD (Measurement While Drilling) sensors for use in downhole well services operations.

A9. Aerospace and Propulsion

Related item from Annex I to No Description Regulation (EC) No 428/2009

II.A9.001 Explosive bolts. —

EN 62 EN

II.B. TECHNOLOGY

Related item from Annex I to No Description Regulation (EC) No 428/2009

II.B.001 Technology required for the development, production, or use – of the items in Part II.A. (Goods) above.

II.B.002 Technology required for the development or production of – the items in Part IV A. (Goods) of Annex IV.

Technical Note:

The term ‘technology’ includes software.

EN 63 EN ANNEX III

List of equipment which might be used for internal repression as referred to in Articles 2(1)(b), 5(1)(c) and 5(1)(e)

1. Fire-arms, ammunition and related accessories therefor, as follows:

1.1 Firearms not controlled by ML 1 and ML 2 of the EU Common Military List21;

1.2 Ammunition specially designed for the firearms listed in 1.1 and specially designed components therefor;

1.3 Weapon-sights not controlled by the EU Common Military List.

2. Bombs and grenades not controlled by the EU Common Military List.

3. Vehicles as follows:

3.1 Vehicles equipped with a water cannon, specially designed or modified for the purpose of riot control;

3.2 Vehicles specially designed or modified to be electrified to repel borders;

3.3 Vehicles specially designed or modified to remove barricades, including construction equipment with ballistic protection;

3.4 Vehicles specially designed for the transport or transfer of prisoners and/or detainees;

3.5 Vehicles specially designed to deploy mobile barriers;

3.6 Components for the vehicles specified in 3.1 to 3.5 specially designed for the purposes of riot control.

Note 1 This item does not control vehicles specially designed for the purposes of fire-fighting.

Note 2 For the purposes of item 3.5 the term "vehicles" includes trailers.

4. Explosive substances and related equipment as follows:

4.1 Equipment and devices specially designed to initiate explosions by electrical or non-electrical means, including firing sets, detonators, igniters, boosters and detonating cord, and specially designed components therefor; except those specially designed for a specific commercial use consisting of the actuation or operation by explosive means of other equipment or devices the function of which is not the creation of explosions (e.g., car air-bag inflaters, electric-surge arresters of fire sprinkler actuators);

21 OJ L 88, 29.3.2007, p. 58.

EN 64 EN 4.2 Linear cutting explosive charges not controlled by the EU Common Military List;

4.3 Other explosives not controlled by the EU Common Military List and related substances as follows:

a. amatol;

b. nitrocellulose (containing more than 12,5 % nitrogen);

c. nitroglycol;

d. pentaerythritol tetranitrate (PETN);

e. picryl chloride;

f. 2,4,6-trinitrotoluene (TNT).

5. Protective equipment not controlled by ML 13 of the EU Common Military List as follows:

5.1 Body armour providing ballistic and/or stabbing protection;

5.2 Helmets providing ballistic and/or fragmentation protection, anti-riot helmets, antiriot shields and ballistic shields.

Note: This item does not control:

- equipment specially designed for sports activities;

- equipment specially designed for safety of work requirements.

6. Simulators, other than those controlled by ML 14 of the EU Common Military List, for training in the use of firearms, and specially designed software therefor.

7. Night vision, thermal imaging equipment and image intensifier tubes, other than those controlled by the EU Common Military List.

8. Razor barbed wire.

9. Military knives, combat knives and bayonets with blade lengths in excess of 10 cm.

10. Production equipment specially designed for the items specified in this list.

11. Specific technology for the development, production or use of the items specified in this list.

EN 65 EN ANNEX IV

Goods and technology referred to in Article 3 and 5(2)

INTRODUCTORY NOTES

1. Unless otherwise stated, reference numbers used in the column below entitled ‘Description’ refer to the descriptions of dual use items and technology set out in Annex I to Regulation (EC) No 428/2009.

2. A reference number in the column below entitled ‘Related item from Annex I to Regulation (EC) No 428/2009’ means that the characteristics of the item described in the ‘Description’ column lie outside the parameters set out in the description of the dual use entry referred to.

3. Definitions of terms between ‘single quotation marks’ are given in a technical note to the relevant item.

4. Definitions of terms between “double quotation marks” can be found in Annex I to Regulation (EC) No 428/2009.

GENERAL NOTES

1. The object of the controls contained in this Annex should not be defeated by the export of any non-controlled goods (including plant) containing one or more controlled components when the controlled component or components is/are the principal element of the goods and can feasibly be removed or used for other purposes.

N.B.: In judging whether the controlled component or components is/are to be considered the principal element, it is necessary to weigh the factors of quantity, value and technological know-how involved and other special circumstances which might establish the controlled component or components as the principal element of the goods being procured.

2. Goods specified in this Annex include both new and used goods.

GENERAL TECHNOLOGY NOTE (GTN)

(To be read in conjunction with Section IV.B)

1. The sale, supply, transfer or export of ‘technology’ which is ‘required’ for the ‘development’, ‘production’ or ‘use’ of goods the sale, supply, transfer or export of which is controlled in Part A (Goods) below, is controlled in accordance with the provisions of Section IV.B.

2. The ‘technology’ ‘required’ for the ‘development’, ‘production’ or ‘use’ of goods under control remains under control even when it is applicable to non-controlled goods.

3. Controls do not apply to that ‘technology’ which is the minimum necessary for the installation, operation, maintenance (checking) and repair of those goods which are

EN 66 EN not controlled or the export of which has been authorised in accordance with Regulation (EC) No 423/2007 or Regulation (EU) No …/2010.

4. Controls on ‘technology’ transfer do not apply to information ‘in the public domain’, to ‘basic scientific research’ or to the minimum necessary information for patent applications.

IV.A. GOODS

A0. Nuclear Materials, Facilities, and Equipment

Related item from Annex I to No Description Regulation (EC) No 42 8/2009

IV.A0.011 Vacuum pumps other than those specified in 0B002.f.2., or 0B002.f.2, 2B231, as follows: 2B231

Turbomolecular pumps having a flowrate equal to or greater than 400 l/s,

Roots type vacuum roughing pumps having a volumetric aspiration flowrate greater than 200m3/h.

Bellows-sealed, scroll, dry compressor, and bellows-sealed, scroll, dry vacuum pumps.

A1. Materials, chemicals, ‘micro-organisms’ and ‘toxins’

Related item from Annex I to No Description Regulation (EC) No 42 8/2009

IV.A1.003 Ring-shaped seals and gaskets, having an inner diameter of 400mm or less, made of any of the following materials:

a. Copolymers of vinylidene fluoride having 75 % or more beta crystalline structure without stretching;

b. Fluorinated polyimides containing 10 % by weight or more of combined fluorine;

c. Fluorinated phosphazene elastomers containing 30 % by weight or more of combined fluorine;

EN 67 EN d. Polychlorotrifluoroethylene (PCTFE, e.g. Kel-F ®);

e. Fluoro-elastomers (e.g., Viton ®, Tecnoflon ®);

f. Polytetrafluoroethylene (PTFE).

IV.A1.004 Personal equipment for detecting radiation of nuclear origin, 1A004.c including personal dosimeters.

Note: This item does not cover nuclear detection systems defined in item 1A004.c.

A2. Materials Processing

Related item from Annex I to No Description Regulation (EC) No 42 8/2009

IV.A2.005 Controlled atmosphere heat treatment furnaces, as follows: 2B226

Furnaces capable of operation at temperatures above 400 °C. 2B227

IV.A2.008 Liquid-liquid contacting equipment (mixer-settlers, pulsed 2B350.e columns, centrifugal contactors); and liquid distributors, vapour distributors or liquid collectors designed for such equipment, where all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:

1. Alloys with more than 25 % nickel and 20 % chromium by weight;

2. Fluoropolymers;

3. Glass (including vitrified or enamelled coating or glass lining);

4. Graphite or ‘carbon graphite’;

5. Nickel or alloys with more than 40 % nickel by weight;

6. Tantalum or tantalum alloys;

7. Titanium or titanium alloys;

8. Zirconium or zirconium alloys; or

EN 68 EN 9. Stainless steel.

Technical Note:

‘Carbon graphite’ is a composition consisting of amorphous carbon and graphite, in which the graphite content is 8 % or more by weight.

IV.A2.009 Industrial equipment and components, other than those specified 2B350.d in 2B350.d, as follows:

Heat exchangers or condensers with a heat transfer surface area greater than 0,05 m2, and less than 30 m2; and tubes, plates, coils or blocks (cores) designed for such heat exchangers or condensers, where all surfaces that come in direct contact with the fluid(s) are made from any of the following materials:

1. Alloys with more than 25 % nickel and 20 % chromium by weight;

2. Fluoropolymers;

3. Glass (including vitrified or enamelled coating or glass lining);

4. Graphite or ‘carbon graphite’;

5. Nickel or alloys with more than 40 % nickel by weight;

6. Tantalum or tantalum alloys;

7. Titanium or titanium alloys;

8. Zirconium or zirconium alloys;

9. Silicon carbide;

10. Titanium carbide; or

11. Stainless steel.

Note: This item does not cover vehicle radiators.

Technical Notes:

1. The materials used for gaskets and seals and other implementation of sealing functions do not determine the status of control of the heat exchanger.

IV.A2.010 Multiple-seal, and seal-less pumps, other than those specified in 2B350.d 2B350.i, suitable for corrosive fluids, with manufacturer’s

EN 69 EN specified maximum flow-rate greater than 0,6 m3/hour, or vacuum pumps with manufacturer’s specified maximum flowrate greater than 5 m3/hour [measured under standard temperature (273 K or 0 °C) and pressure (101,3kPa) conditions]; and casings (pump bodies), preformed casing liners, impellers, rotors or jet pump nozzles designed for such pumps, in which all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:

1. Alloys with more than 25 % nickel and 20 % chromium by weight;

2. Ceramics;

3. Ferrosilicon;

4. Fluoropolymers;

5. Glass (including vitrified or enamelled coatings or glass lining);

6. Graphite or ‘carbon graphite’;

7. Nickel or alloys with more than 40 % nickel by weight;

8. Tantalum or tantalum alloys;

9. Titanium or titanium alloys;

10. Zirconium or zirconium alloys;

11. Niobium (columbium) or niobium alloys;

12. Stainless steel; or

13. Aluminium alloys.

Technical Notes:

1. The materials used for gaskets and seals and other implementation of sealing functions do not determine the status of control of the pump.

A3. Electronics

Related No Description item from Annex I to

EN 70 EN Regulation (EC) No 42 8/2009

IV.A3.004 Spectrometers and diffractometers, designed for the indicative test or quantitative analysis of the elemental composition of metals or alloys without chemical decomposition of the material.

IV.B. TECHNOLOGY

Related item from Annex I to No Description Regulation (EC) No 428/2009

IV.B.001 Technology required for the use of the items in Part IV A. (Goods) above.

Technical Note:

The term ‘technology’ includes software.

EN 71 EN ANNEX V

Web sites for information on the competent authorities referred to in Articles 3(5), 3(6), 5(3), 7, 10, 12, 13, 14, 17, 18, 19(1), 19(2), 21, 22, 23, 27, 30(1) and 35, and address for notifications to the European Commission

BELGIUM

http://www.diplomatie.be/eusanctions

BULGARIA

http://www.mfa.government.bg

CZECH REPUBLIC

http://www.mfcr.cz/mezinarodnisankce

DENMARK

http://www.um.dk/da/menu/Udenrigspolitik/FredSikkerhedOgInternationalRetsorden/Sanktio ner/

GERMANY

http://www.bmwi.de/BMWi/Navigation/Aussenwirtschaft/Aussenwirtschaftsrecht/embargos. html

ESTONIA

http://www.vm.ee/est/kat_622/

IRELAND

http://foreign-affairs.net/home/index.aspx?id=28519

GREECE

http://www.ypex.gov.gr/www.mfa.gr/en- US/Policy/Multilateral+Diplomacy/International+Sanctions/

SPAIN

http://www.maec.es/es/MenuPpal/Asuntos/Sanciones%20Internacionales/Paginas/Sanciones_ %20Internacionales.aspx

FRANCE

http://www.diplomatie.gouv.fr/autorites-sanctions/

ITALY

http://www.esteri.it/UE/deroghe.html

EN 72 EN CYPRUS

http://www.mfa.gov.cy/sanctions

LATVIA

http://www.mfa.gov.lv/en/security/4539

LITHUANIA

http://www.urm.lt

LUXEMBOURG

http://www.mae.lu/sanctions

HUNGARY

http://www.kulugyminiszterium.hu/kum/hu/bal/Kulpolitikank/nemzetkozi_szankciok/

MALTA

http://www.doi.gov.mt/EN/bodies/boards/sanctions_monitoring.asp

NETHERLANDS

http://www.minbuza.nl/sancties

AUSTRIA

http://www.bmeia.gv.at/view.php3?f_id=12750&LNG=en&version=

POLAND

http://www.msz.gov.pl

PORTUGAL

http://www.min-nestrangeiros.pt

ROMANIA

http://www.mae.ro/index.php?unde=doc&id=32311&idlnk=1&cat=3

SLOVENIA

http://www.mzz.gov.si/si/zunanja_politika/mednarodna_varnost/omejevalni_ukrepi/

SLOVAKIA

http://www.foreign.gov.sk

EN 73 EN FINLAND

http://formin.finland.fi/kvyhteistyo/pakotteet

SWEDEN

http://www.ud.se/sanktioner

UNITED KINGDOM

www.fco.gov.uk/competentauthorities

Address for notifications to the European Commission:

European Commission

DG External Relations

Directorate A Crisis Platform — Policy Coordination in Common Foreign and Security Policy (CFSP)

Unit A.2. Crisis Response and Peace Building

CHAR 12/106

B-1049 Bruxelles/Brussel (Belgium)

E-mail: [email protected]

Tel.: (32-2) 295 55 85

Fax: (32-2) 299 08 73

Council controller for the purpose of Regulation (EC) No 45/2001:

[to be completed by Council]

EN 74 EN Annex VI

List of key equipment used in the oil and gas industry referred to in Article 8

(To be completed in due time)

EN 75 EN ANNEX VII

List of persons, entities and bodies referred to in Article 16(1)

A. Legal persons, entities and bodies

Identifying Name Reasons Date of listing information

1. Abzar Boresh Kaveh Co. Involved in the production Date of UN (alias BK Co.) of centrifuge components. designation: 3.3.2008

2. Amin Industrial Complex Address: (a) P.O. (a) Amin Industrial Date of UN (alias (a) Amin Box 91735-549, Complex sought designation: IndustrialCompound, (b) Mashad, Iran; temperature controllers 9.6.2010 Amin Industrial Company) (b) Amin Industrial which may be used in Estate, Khalage nuclear research and Rd., Seyedi operational/production District, Mashad, facilities; Iran; (b) Amin Industrial (c) Kaveh Complex is owned or Complex, Khalaj controlled by, or acts on Rd., Seyedi St., behalf of, the Defense Mashad, Iran. Industries Organization (DIO), which was designated in UN Security Council Resolution 1737 (2006).

3. Ammunition and (a) AMIG controls 7th of Date of UN Metallurgy Industries Tir; designation: Group (b) AMIG is owned and 4.3.2007 (alias (a) AMIG, (b) controlled by the Defence Ammunition Industries Industries Organisation Group) (DIO).

4. Armament Industries Address: (a) Sepah (a) Armament Industries Date of EU Group Islam Road, Karaj Group (AIG) designation: Special Road Km manufacturers and services 24.4.2007 10, Iran; a variety of small arms and (UN: 9.6.2010) (b) Pasdaran Ave., light weapons, including P.O. Box large- and medium-calibre 19585/777, Tehran, guns and related Iran. technology; (b) AIG conducts the majority of its procurement activity through Hadid Industries Complex.

5. Atomic Energy Involved in Iran’s nuclear Date of UN

EN 76 EN Organization of Iran programme. designation: (AEOI) 23.12.2006

6. Bank Sepah and Bank Bank Sepah provides Date of UN Sepah International support for the Aerospace designation: Industries Organisation 24.3.2007 (AIO) and subordinates, including Shahid Hemmat Industrial Group (SHIG) and Shahid Bagheri Industrial Group (SBIG).

7. Barzagani Tejarat (a) subsidiary of Saccal Date of UN Tavanmad Saccal System companies; designation: companies (b) this company tried to 3.3.2008 purchase sensitive goods for an entity listed in resolution 1737 (2006).

8. Cruise Missile Industry Date of UN Group (alias Naval designation: Defence Missile Industry 24.3.2007 Group)

9. Defence Industries (a) Overarching Date of UN Organisation (DIO) MODAFL-controlled designation: entity, some of whose 23.12.2006 subordinates have been involved in the centrifuge programme making components, and in the missile programme; (b) Involved in Iran’s nuclear programme.

10. Defense Technology and Address: Pasdaran Defense Technology and Date of EU Science Research Center Ave, PO Box Science Research Center designation: 19585/777, Tehran, (DTSRC) is owned or 24.4.2007 Iran. controlled by, or acts on (UN: 9.6.2010) behalf of, Iran’s Ministry of Defense and Armed Forces Logistics (MODAFL), which oversees Iran’s defence R&D, production, maintenance, exports, and procurement.

11. Doostan International Doostan International Date of UN

EN 77 EN Company Company (DICO) supplies designation: elements to Iran’s ballistic 9.6.2010 missile program.

12. Electro Sanam Company AIO front-company, Date of UN (alias (a) E. S. Co., (b) E. involved in the ballistic designation: X. Co.) missile programme. 3.3.2008

13. Esfahan Nuclear Fuel They are parts of the Date of UN Research and Production Atomic Energy designation: Centre (NFRPC) and Organisation of Iran’s 24.3.2007 Esfahan Nuclear (AEOI) Nuclear Fuel Technology Centre Production and (ENTC) Procurement Company.

14. Ettehad Technical Group AIO front-company, Date of UN involved in the ballistic designation: missile programme. 3.3.2008

15. Fajr Industrial Group (a) Formerly Date of UN Instrumentation Factory designation: Plant; 23.12.2006 (b) Subordinate entity of AIO; (c) Involved in Iran’s ballistic missile programme.

16. Farasakht Industries Address: P.O. Box Farasakht Industries is Date of UN 83145-311, owned or controlled by, or designation: Kilometer 28, acts on behalf of, the Iran 9.6.2010 Esfahan-Tehran Aircraft Manufacturing Freeway, Shahin Company, which in turn is Shahr, Esfahan, owned or controlled by Iran. MODAFL.

17. Farayand Technique (a) Involved in Iran’s Date of UN nuclear programme designation: (centrifuge programme); 23.12.2006 (b) Identified in IAEA reports.

18. Fater (or Faater) Institute (a) Khatam al-Anbiya Date of UN (KAA) subsidiary; designation: (b) Fater has worked with 9.6.2010 foreign suppliers, likely on behalf of other KAA companies on IRGC projects in Iran; (c) Owned or controlled by, or acting on behalf of,

EN 78 EN the Islamic Revolutionary Guard Corps.

19. First East Export Bank, Address: Unit (a) First East Export Bank, Date of UN P.L.C. Level 10 (B1), PLC is owned or controlled designation: Main Office Tower, by, or acts on behalf of, 9.6.2010 Financial Park Bank Mellat; Labuan, Jalan (b) Over the last seven Merdeka, 87000 years, Bank Mellat has WP Labuan, facilitated hundreds of Malaysia. millions of dollars in transactions for Iranian nuclear, missile, and defense entities; (c) Business Registration Number LL06889 (Malaysia).

20. Gharagahe Sazandegi Owned or controlled by, or Date of UN Ghaem acting on behalf of, the designation: Islamic Revolutionary 9.6.2010 Guard Corps. Gharagahe Sazandegi Ghaem is owned or controlled by KAA (see below).

21. Ghorb Karbala Owned or controlled by, or Date of UN acting on behalf of, the designation: Islamic Revolutionary 9.6.2010 Guard Corps. Ghorb Karbala is owned or controlled by KAA (see below).

22. Ghorb Nooh Owned or controlled by, or Date of UN acting on behalf of, the designation: Islamic Revolutionary 9.6.2010 Guard Corps. Ghorb Nooh is owned or controlled by KAA (see below).

23. Hara Company Owned or controlled by, or Date of UN acting on behalf of, the designation: Islamic Revolutionary 9.6.2010 Guard Corps. Owned or controlled by Ghorb Nooh.

24. Imensazan Consultant Owned or controlled by, or Date of UN Engineers Institute acting on behalf of, the designation: Islamic Revolutionary 9.6.2010 Guard Corps. Owned or

EN 79 EN controlled by, or acts on behalf of, KAA (see below).

25. Industrial Factories of Used by AIO for some Date of UN Precision (IFP) Machinery acquisition attempts. designation: (alias Instrumentation 3.3.2008 Factories Plant)

26. Irano Hind Shipping Address: (a) 18 Owned or controlled by, or Date of UN Company Mehrshad Street, acting on behalf of the designation: Sadaghat Street, Islamic Republic of Iran 9.6.2010 Opposite of Park Shipping Lines. Mellat, Vali-e-Asr Ave., Tehran, Iran; (b) 265, Next to Mehrshad, Sedaghat St., Opposite of Mellat Park, Vali Asr Ave., Tehran 1A001, Iran.

27. IRISL Benelux NV Address: Owned or controlled by, or Date of UN Noorderlaan 139, acting on behalf of the designation: B-2030, Antwerp, Islamic Republic of Iran 9.6.2010 Belgium. Shipping Lines. V.A.T. Number BE480224531 (Belgium).

28. Jabber Ibn Hayan AEOI laboratory involved Date of EU in fuel cycle acitivties. designation: 24.4.2007 (UN: 3.3.2008)

29. Joza Industrial Co. AIO front-company, Date of UN involved in the ballistic designation: missile programme. 3.3.2008

30. Kala-Electric (a) Provider for PFEP — Date of UN (alias Kalaye Electric) Natanz; designation: (b) Involved in Iran’s 23.12.2006 nuclear programme.

31. Karaj Nuclear Research Part of AEOI’s research Date of UN Centre division. designation: 24.3.2007

EN 80 EN 32. Kaveh Cutting Tools Address: Kaveh Cutting Tools Date of UN Company (a) 3rd Km of Company is owned or designation: Khalaj Road, controlled by, or acts on 9.6.2010 Seyyedi Street, behalf of, the DIO. Mashad 91638, Iran; (b) Km 4 of Khalaj Road, End of Seyedi Street, Mashad, Iran; (c) P.O. Box 91735-549, Mashad, Iran; (d) Khalaj Rd., End of Seyyedi Alley, Mashad, Iran; (e) Moqan St., Pasdaran St., Pasdaran Cross Rd., Tehran, Iran.

33. Kavoshyar Company Subsidiary company of Date of UN AEOI. designation: 24.3.2007

34. Khatam al-Anbiya Khatam al-Anbiya Date of EU Construction Headquarters Construction Headquarters designation: (KAA) is an Islamic 24.6.2008 Revolutionary Guard (UN: 9.6.2010) Corps (IRGC)-owned company involved in large scale civil and military construction projects and other engineering activities. It undertakes a significant amount of work on Passive Defense Organization projects. In particular, KAA subsidiaries were heavily involved in the construction of the uranium enrichment site at Qom/Fordow.

35. Khorasan Metallurgy (a) Subsidiary of the Date of UN Industries Ammunition Industries designation: Group (AMIG) which 3.3.2008 depends on DIO;

EN 81 EN (b) involved in the production of centrifuge components.

36. M. Babaie Industries Address: P.O. Box (a) M. Babaie Industries is Date of UN 16535-76, Tehran, subordinate to Shahid designation: 16548, Iran. Ahmad Kazemi Industries 9.6.2010. Group (formally the Air Defense Missile Industries Group) of Iran’s Aerospace Industries Organization (AIO); (b) AIO controls the missile organizations Shahid Hemmat Industrial Group (SHIG) and the Shahid Bakeri Industrial Group (SBIG), both of which were designated in resolution 1737.

37. Makin Owned or controlled by, or Date of UN acting on behalf of, the designation: Islamic Revolutionary 9.6.2010. Guard Corps. Makin is owned or controlled by or acting on behalf of KAA, and is a subsidiary of KAA.

38. Malek Ashtar University Address: Corner of (a) a subordinate of the Date of EU Imam Ali Highway DTRSC within MODAFL; designation: and Babaei (b) this includes research 24.6.2008 Highway, Tehran, groups previously falling (UN: 9.6.2010) Iran. under the Physics Research Center (PHRC); (c) IAEA inspectors have not been allowed to interview staff or see documents under the control of this organization to resolve the outstanding issue of the possible military dimension to Iran’s nuclear program.

39. Mesbah Energy Company (a) Provider for A40 Date of UN research reactor — Arak; designation: (b) Involved in Iran’s 23.12.2006

EN 82 EN nuclear programme.

40. Ministry of Defense Address: Ministry of Defense Date of EU Logistics Export. (a) PO Box 16315- Logistics Export designation: 189, Tehran, Iran; (MODLEX) sells Iranian- 24.6.2008 (b) located on the produced arms to (UN: 9.6.2010) west side of customers around the Dabestan Street, world in contravention of Abbas Abad UN Security Council District, Tehran, Resolution 1747 (2007), Iran. which prohibits Iran from selling arms or related materiel.

41. Mizan Machinery Address: O. Box Mizan Machinery Date of EU Manufacturing (alias 16595-365, Tehran, Manufacturing (3M) is designation: 3MG). Iran. owned or controlled by, or 24.6.2008 acts on behalf of, SHIG. (UN: 9.6.2010)

42. Modern Industries Address: Arak, (a) Modern Industries Date of UN Technique Company (alias Iran. Technique Company designation: (a) Rahkar Company,(b) (MITEC) is responsible for 9.6.2010 Rahkar Industries, (c) design and construction of Rahkar Sanaye Company, the IR-40 heavy water (d) Rahkar Sanaye Novin). reactor in Arak; (b) MITEC has spearheaded procurement for the construction of the IR-40 heavy water reactor.

43. Niru Battery (a) subsidiary of the DIO; Date of UN Manufacturing Company (b) its role is to designation: manufacture power units 3.3.2008 for the Iranian military including missile systems.

44. Novin Energy Company It operates within AEOI. Date of UN (alias Pars Novin) designation: 24.3.2007

45. Nuclear Research Center Address: P.O. Box (a) the Nuclear Research Date of UN for Agriculture and 31585-4395, Karaj, Center for Agriculture and designation: Medicine (alias (a) Center Iran. Medicine (NFRPC) is a 9.6.2010 for Agricultural Research large research component and Nuclear Medicine, (b) of the Atomic Energy Karaji Agricultural and Organization of Iran Medical Research Center). (AEOI), which was designated in UN Security Council Resolution 1737 (2006);

EN 83 EN (b) the NFRPC is AEOI’s center for the development of nuclear fuel and is involved in enrichment- related activities

46. Omran Sahel Owned or controlled by, or Date of UN acting on behalf of, the designation: Islamic Revolutionary 9.6.2010 Guard Corps. Owned or controlled by Ghorb Nooh.

47. Oriental Oil Kish Owned or controlled by, or Date of UN acting on behalf of, the designation: Islamic Revolutionary 9.6.2010 Guard Corps. Oriental Oil Kish is owned or controlled by or acting on behalf of KAA.

48. Parchin Chemical Branch of DIO Date of UN Industries designation: 24.3.2007

49. Pars Aviation Services Maintains aircraft Date of UN Company designation: 24.3.2007

50. Pars Trash Company (a) Involved in Iran’s Date of UN nuclear programme designation: (centrifuge programme); 23.12.2006 (b) Identified in IAEA reports

51. Pejman Industrial Services Address: P.O. Box Pejman Industrial Services Date of UN Corporation 16785-195, Tehran, Corporation is owned or designation: Iran controlled by, or acts on 9.6.2010 behalf of, SBIG

52. Pishgam (Pioneer) Energy Has participated in Date of UN Industries construction of the designation: Uranium Conversion 3.3.2008 Facility at Esfahan

53. Qods Aeronautics It produces unmanned Date of UN Industries aerial vehicles (UAVs), designation: parachutes, paragliders, 24.3.2007 paramotors, etc.

54. Rah Sahel Owned or controlled by, or Date of UN acting on behalf of, the designation:

EN 84 EN 9.6.2010 Islamic Revolutionary Guard Corps. Rah Sahel is owned or controlled by or acting on behalf of KAA.

55. Rahab Engineering Owned or controlled by, or Date of UN Institute acting on behalf of, the designation: Islamic Revolutionary 9.6.2010 Guard Corps. Rahab is owned or controlled by or acting on behalf of KAA, and is a subsidiary of KAA.

56. Sabalan Company Address: Sabalan is a cover name for Date of UN Damavand Tehran SHIG. designation: Highway, Tehran, 9.6.2010 Iran.

57. Sanam Industrial Group Subordinate to AIO. Date of UN designation: 24.3.2007

58. Safety Equipment AIO front-company, Date of UN Procurement (SEP) involved in the ballistic designation: missile programme. 3.3.2008

59. Sahand Aluminum Parts Address: SAPICO is a cover name Date of UN Industrial Company Damavand Tehran for SHIG. designation: (SAPICO) Highway, Tehran, 9.6.2010 Iran.

60. Sahel Consultant Engineers Owned or controlled by, or Date of UN acting on behalf of, the designation: Islamic Revolutionary 9.6.2010 Guard Corps. Owned or controlled by Ghorb Nooh.

61. Sepanir Owned or controlled by, or Date of UN acting on behalf of, the designation: Islamic Revolutionary 9.6.2010 Guard Corps. Sepanir is owned or controlled by or acting on behalf of KAA

62. Sepasad Engineering Owned or controlled by, or Date of UN Company acting on behalf of, the designation: Islamic Revolutionary 9.6.2010 Guard Corps. Sepasad Engineering Company is

EN 85 EN owned or controlled by or acting on behalf of KAA.

63. 7th of Tir. (a) Subordinate of DIO, Date of UN widely recognised as being designation: directly involved in Iran’s 23.12.2006. nuclear programme; (b) Involved in Iran’s nuclear programme.

64. Shahid Bagheri Industrial (a) Subordinate entity of Date of UN Group (SBIG) AIO; designation: (b) Involved in Iran’s 23.12.2006. ballistic missile programme.

65. Shahid Hemmat Industrial (a) subordinate entity of Date of UN Group (SHIG) AIO; designation: (b) Involved in Iran’s 23.12.2006. ballistic missile programme.

66. Shahid Karrazi Industries. Address: Tehran, Shahid Karrazi Industries Date of UN Iran. is owned or controlled by, designation: or act on behalf of, SBIG. 9.6.2010

67. Shahid Satarri Industries Address: Southeast Shahid Sattari Industries is Date of UN (alias Shahid Sattari Group Tehran, Iran. owned or controlled by, or designation: Equipment Industries) acts on behalf of, SBIG. 9.6.2010

68. Shahid Sayyade Shirazi Address: (a) Next Shahid Sayyade Shirazi Date of UN Industries to Nirou Battery Industries (SSSI) is owned designation: Mfg. Co, Shahid or controlled by, or acts on 9.6.2010 Babaii Expressway, behalf of, the DIO. Nobonyad Square, Tehran, Iran; (b) Pasdaran St., P.O. Box 16765, Tehran 1835, Iran, (c) Babaei Highway — Next to Niru M.F.G, Tehran, Iran.

69. Sho’a’ Aviation It produces microlights. Date of UN designation: 24.3.2007

70. South Shipping Line Iran Address: Owned or controlled by, or Date of UN (SSL) (a) Apt. No. 7, 3rd acting on behalf of, the designation: Floor, No. 2, 4th Islamic Republic of Iran 9.6.2010

EN 86 EN Alley, Gandi Ave., Shipping Lines. Tehran, Iran; (b) Qaem Magham Farahani St., Tehran, Iran.

71. Special Industries Group Address: Pasdaran Special Industries Group Date of EU Avenue, PO Box (SIG) is a subordinate of designation: 19585/777, Tehran, DIO. 24.4.2007 Iran. (UN: 9.6.2010)

72. TAMAS Company (a) involved in enrichment- Date of EU related activities; designation: (b) TAMAS is an 24.4.2007 overarching body, under (UN: 3.3.2008) which four subsidiaries have been established, including one for uranium extraction to concentration and another in charge of uranium processing, enrichment and waste.

73. Tiz Pars Address: (a) Tiz Pars is a cover Date of UN Damavand Tehran name for SHIG; designation: Highway, Tehran, (b) Between April and July 9.6.2010 Iran. 2007, Tiz Pars attempted to procure a five axis laser welding and cutting machine, which could make a material contribution to Iran’s missile program, on behalf of SHIG.

74. Ya Mahdi Industries Group Subordinate to AIO. Date of UN designation: 24.3.2007

75. Yazd Metallurgy Industries Address: Metallurgy Industries Date of UN (alias (a) Yazd (a) Pasdaran (YMI) is a subordinate of designation: Ammunition Avenue, Next to DIO. 9.6.2010 Manufacturing and Telecommunication Metallurgy Industries, (b) Industry, Tehran Directorate of Yazd 16588, Iran; Ammunition and (b) Postal Box Metallurgy Industries.) 89195/878, Yazd, Iran, (c) P.O. Box 89195-678, Yazd, Iran, (d) Km 5 of Taft Road, Yazd,

EN 87 EN Iran.

B. Natural persons

Identifying Name Reasons Date of listing information

1. Fereidoun Senior Ministry of Defence Date of UN ABBASI-DAVANI and Armed Forces designation: Logistics (MODAFL) 24.3.2007 scientist with links to the Institute of Applied Physics. Working closely with Mohsen Fakhrizadeh- Mahabadi.

2. Dawood Function: Head of the Date of UN AGHA-JANI PFEP – Natanz. designation: 23.12.2006 Person involved in Iran’s nuclear programme.

3. Ali Akbar AHMADIAN Title: Vice Admiral. Date of UN Function: Chief of Iranian designation: Revolutionary Guard 24.3.2007 Corps (IRGC) Joint Staff

4. Amir Moayyed ALAI Involved in managing the Date of EU assembly and engineering designation: of centrifuges. 24.4.2007 (UN: 3.3.2008)

5. Behman ASGARPOUR Function: Operational Date of UN Manager (Arak) designation: 23.12.2006 Person involved in Iran’s nuclear programme.

6. Mohammad Fedai Involved in the production Date of EU ASHIANI of ammonium uranyl designation: carbonate and management 24.4.2007 of the Natanz enrichment (UN: 3.3.2008) complex.

7. Abbas Rezaee A senior official at the Date of UN ASHTIANI AEOI Office of designation: Exploration and Mining 3.3.2008 Affairs.

EN 88 EN 8. Bahmanyar Morteza Function: Head of Finance Date of UN BAHMANYAR & Budget Dept, Aerospace designation: Industries Organisation 23.12.2006 (AIO).Person involved in Iran’s ballistic missile programme.

9. Haleh BAKHTIAR Involved in the production Date of EU of magnesium at a designation: concentration of 99.9 %. 24.4.2007 UN: 3.3.2008)

10. Morteza BEHZAD Involved in making Date of EU centrifuge components. designation: 24.4.2007 (UN: 3.3.2008)

11. Ahmad Vahid Function: Head of the Date of UN DASTJERDI Aerospace Industries designation: Organisation (AIO). 23.12.2006

Person involved in Iran’s ballistic missile programme.

12. Ahmad Function: Chairman and Date of UN DERAKHSHANDEH Managing Director of Bank designation: Sepah. 24.3.2007

13. Mohammad ESLAMI Title: Dr. Head of Defence Industries Date of UN Training and Research designation: Institute. 3.3.2008

14. Reza-Gholi ESMAELI Function: Head of Trade & Date of UN International Affairs Dept, designation: Aerospace Industries 23.12.2006 Organisation (AIO).

Person involved in Iran’s ballistic missile programme.

15. Mohsen Senior MODAFL scientist Date of UN FAKHRIZADEH- and former head of the designation: MAHABADI Physics Research Centre 24.3.2007 (PHRC).

16. Mohammad HEJAZI Title: Brigadier General. Date of UN Function: Commander of designation:

EN 89 EN Bassij resistance force. 24.3.2007

17. Mohsen HOJATI Function: Head of Fajr Date of UN Industrial Group. designation: 24.3.2007

18. Seyyed Hussein AEOI official involved in Date of EU HOSSEINI the heavy water research designation: reactor project at Arak. 24.4.2007 (UN: 3.3.2008)

19. M. Javad KARIMI Head of Novin Energy Date of EU SABET Company, which is designation: designated under resolution 24.4.2007 1747 (2007). (UN: 3.3.2008)

20. Mehrdada Akhlaghi Function: Head of Shahid Date of UN KETABACHI Bagheri Industrial Group designation: (SBIG). 24.3.2007

21. Ali Hajinia LEILABADI Function: Director General Date of UN of Mesbah Energy designation: Company. 23.12.2006

Person involved in Iran’s nuclear programme.

22. Naser MALEKI Function: Head of Shahid Date of UN Hemmat Industrial Group designation: (SHIG). 24.3.2007

Naser Maleki is also a MODAFL official overseeing work on the Shahab-3 ballistic missile programme. The Shahab-3 is Iran’s long-range ballistic missile currently in service.

23. Hamid-Reza Involved in production Date of EU MOHAJERANI management at the designation: Uranium Conversion 24.4.2007 Facility (UCF) at Esfahan. (UN: 3.3.2008)

24. Jafar MOHAMMADI Function: Technical Date of UN Adviser to the Atomic designation: Energy Organisation of 23.12.2006 Iran (AEOI) (in charge of

EN 90 EN managing the production of valves for centrifuges). Person involved in Iran’s nuclear programme.

25. Ehsan MONAJEMI Function: Construction Date of UN Project Manager, Natanz. designation: Person involved in Iran’s 23.12.2006 nuclear programme.

26. Mohammad Reza Title: Brigadier Former Deputy Chief of Date of UN NAQDI General. Armed Forces General designation: Staff for Logistics and 3.3.2008 Industrial Research/Head of State Anti-Smuggling Headquarters, engaged in efforts to get round the sanctions imposed by resolutions 1737 (2006) and 1747 (2007).

27. Houshang NOBARI Involved in the Date of EU management of the Natanz designation: enrichment complex. 24.4.2007 (UN: 3.3.2008)

28. Mohammad Mehdi Nejad Title: Lt Gen. Function: Rector of Malek Date of UN NOURI Ashtar University of designation: Defence Technology. The 23.12.2006 chemistry department of Ashtar University of Defence Technology is affiliated to MODALF and has conducted experiments on beryllium. Person involved in Iran’s nuclear programme.

29. Mohammad QANNADI Function: AEOI Vice Date of UN President for Research & designation: Development.Person 23.12.2006 involved in Iran’s nuclear programme.

30. Amir RAHIMI Function: Head of Esfahan Date of UN Nuclear Fuel Research and designation: Production Center. Esfahan 24.3.2007 Nuclear Fuel Research and Production Center is part of the AEOI’s Nuclear Fuel Production and

EN 91 EN Procurement Company, which is involved in enrichment-related activities.

31. Javad RAHIQI Date of birth: Function: Head of the Date of EU 24.4.1954. Atomic Energy designation: Organization of Iran 24.4.2007 Place of birth: (AEOI) Esfahan Nuclear (UN: 9.6.2010) Marshad. Technology Center

32. Abbas RASHIDI Involved in enrichment Date of EU work at Natanz. designation: 24.4.2007 (UN: 3.3.2008)

33 Morteza REZAIE Title: Brigadier Date of UN General. Function: designation: Deputy 24.3.2007 Commander of IRGC.

34. Morteza SAFARI Title: Rear Function: Commander of Date of UN Admiral. IRGC Navy. designation: 24.3.2007

35. Yahya Rahim SAFAVI Title: Maj Gen. Function: Commander, Date of UN IRGC (Pasdaran). Person designation: involved in both Iran’s 23.12.2006 nuclear and ballistic missile programmes.

36. Seyed Jaber SAFDARI Manager of the Natanz Date of UN Enrichment Facilities. designation: 24.3.2007

37. Hosein SALIMI Title: General. Function: Commander of Date of UN the Air Force, IRGC designation: (Pasdaran). Person 23.12.2006 involved in Iran’s ballistic missile programme.

38. Qasem SOLEIMANI Title: Brigadier Function: Commander of Date of UN General. Qods force. designation: 24.3.2007

39. Ghasem SOLEYMANI Director of Uranium Date of UN Mining Operations at the designation: Saghand Uranium Mine. 3.3.2008

40. Mohammad Reza Title: Brigadier Function: Commander of Date of UN designation:

EN 92 EN ZAHEDI General. IRGC Ground Forces. 24.3.2007

41. General ZOLQADR Function: Deputy Interior Date of UN Minister for Security designation: Affairs, IRGC officer. 24.3.2007

EN 93 EN ANNEX VIII

List of persons, entities and bodies referred to in Article 16(2)

A. Natural persons

Date of Name Identifying information Reasons listing

1. Reza Date of Birth: 15/03/1949 Former Head of the 23.4.2007 AGHAZADEH Atomic Energy Place of birth: Khoy Organisation of Iran Passport number: (AEOI). The AEOI S4409483 valid oversees Iran's nuclear 26/04/2000 – 27/04/2010 programme and is Issued: Tehran, designated under Diplomatic passport UNSCR 1737 (2006). number: D9001950, issued on 22/01/2008 valid until 21/01/2013,

2. IRGC Brigadier- MODAFL Deputy for 24.6.2008 General Javad Inspection. DARVISH-VAND Responsible for all MODAFL facilities and installations

3 Ali DAVANDARI Head of Bank Mellat 26.7.2010

4. Rear Admiral Ali Commander of IRGC 26.7.2010 FADAVI Navy

5. Dr Hoseyn Address of NFPC: Deputy and Director- 24.4.2007 (Hossein) General of the Nuclear FAQIHIAN AEOI-NFPD, P.O.Box: Fuel Production and 11365-8486, Tehran / Iran Procurement Company (NFPC), part of the AEOI. The AEOI oversees Iran's nuclear programme and is designated under UNSCR 1737 (2006). The NFPC involved in enrichment-related activities that Iran is required by the IAEA Board and Security Council to suspend.

6. Seyyed Mahdi IRGC Brigadier- 24.6.2008

EN 94 EN FARAHI General. Managing Director of the Defence Industries Organisation (DIO) which is designated under UNSCR 1737 (2006)

7. Parviz FATAH Date of Birth: 1961 Deputy Commander of Khatam al Anbiya

8. Mojtaba HAERI Engineer, MODAFL 24.6.2008 Deputy for Industry. Supervisory role over AIO and DIO

9. Ali IRGC Brigadier- 24.6.2008 HOSEYNITASH General. Head of the General Department of the Supreme National Security Council and involved in formulating policy on the nuclear issue

10. Mohammad Ali Holds a command 24.6.2008 JAFARI post at the IRGC

11. Mahmood Date of Birth: 21/04/1946 Deputy Head of the 24.6.2008 JANNATIAN Atomic Energy Passport number: Organisation of Iran T12838903

12. Said Esmail Date of Birth: 24/11/1945 Deputy Head of 24.4.2007 KHALILIPOUR AEOI. The AEOI (a.k.a.: Place of birth: Langroud oversees Iran's nuclear LANGROUDI) programme and is designated under UNSCR 1737 (2006).

13. Ali Reza Address of NRC: Head of AEOI's 24.4.2007 KHANCHI Tehran Nuclear AEOI-NRC P.O.Box: Research Centre. The 11365-8486 Tehran/ Iran; IAEA is continuing to Fax: (+9821) 8021412 seek clarification from Iran about plutonium separation experiments carried out at the TNRC, including about the presence of HEU

EN 95 EN particles in environmental samples taken at the Karaj Waste Storage Facility where containers used to store depleted uranium targets used in those experiments are located. The AEOI oversees Iran's nuclear programme and is designated under UNSCR 1737 (2006).

14. Fereydoun Date of Birth: 7.11.1943 Director of Fulmen 26.7.2010 MAHMOUDIAN Place of birth: Iran. (see Part B, No 11) Passport no 05HK31387 issued on 1.1.2002 in Iran, valid until 7.8.2010 Granted French citizenship on 7.5.2008.

15. Ebrahim Managing Director of 24.6.2008 MAHMUDZADE Iran Electronic H Industries

16. Brigadier-General MODAFL Deputy for 24.6.2008 Beik Supplies and Logistics MOHAMMADLU

17. Mohammad President of the Setad 26.72010 MOKHBER Ejraie foundation, an investment fund linked to Ali Khamenei, the supreme leader. Member of the board of directors of Sina Bank.

18. Mohammad Reza Head of Samen Al 26.7.2010 MOVASAGHNIA A’Emmeh Industries Group (SAIG) also known as the Cruise Missile Industry Group. This organisation was designated under UNSCR 1747 and listed in Annex IV to

EN 96 EN Regulation (EC) No 423/2007.

19. Anis NACCACHE Administrator of 24.6.2008 Barzagani Tejarat Tavanmad Saccal companies; his company has attempted to procure sensitive goods for entities designated under Resolution 1737 (2006)

20. Brigadier-General Head of Aerospace 24.6.2008 Mohammad Industries NADERI Organisation (AIO), AIO has taken part in sensitive Iranian programmes

21. Mostafa IRGC Brigadier- 24.6.2008 Mohammad General. Minister for NAJJAR the Interior and former Minister of MODAFL, responsible for all military programmes, including ballistic missiles programmes.

22. Mohammad Reza Date of birth: 1953 Brigadier General, 26.7.2010 NAQDI Commander of Basij Place of birth: Nadjaf Resistance Force (Iraq)

23. Mohammad Brigadier General, 26.7.2010 PAKPUR Commander of IRGC Ground Forces

24. Rostam QASEMI Date of birth: 1961 Commander of 26.7.2010 (a.k.a. Rostam Khatam al-Anbiya GHASEMI)

25. Hossein SALAMI Brigadier General, 26.7.2010 Deputy Commander of IRGC

26. Ali Akbar SALEHI Head of the Atomic 17.11.2009 Energy Organisation of Iran (AEOI). The AEOI oversees Iran's

EN 97 EN nuclear programme and is designated under UNSCR 1737 (2006).

27. Mohammad Rear Admiral, 24.6.2008 SHAFI'I MODAFL Deputy for RUDSARI Coordination

28. Ali SHAMSHIRI IRGC Brigadier- 24.6.2008 General. MODAFL Deputy for Counter- Intelligence, responsible for security of MODAFL personnel and Installations

29. Abdollah SOLAT Managing Director of 24.4.2007 SANA the Uranium Conversion Facility (UCF) in Esfahan. This is the facility that produces the feed material (UF6) for the enrichment facilities at Natanz. On 27 August 2006, Solat Sana received a special award from President Ahmadinejad for his role

30. Ahmad VAHIDI IRGC Brigadier- 24.6.2008 General. Minister of the MODAFL and former Deputy Head of MODAFL

B. Legal persons, entities and bodies

Identifying Date of Name Reasons information listing

1. Aerospace AIO, 28 Shian AIO oversees Iran's production of 23.4.2007 Industries 5, Lavizan, missiles, including Shahid Hemmat Organisation, Tehran Industrial Group, Shahid Bagheri AIO Industrial Group and Fajr Industrial Group, which were all designated

EN 98 EN under UNSCR 1737 (2006). The head of AIO and two other senior officials were also designated under UNSCR 1737 (2006)

2. Armed Forces Assessed to provide geospatial data 24.6.2008 Geographical for the Ballistic Missile programme Organisation

3. Azarab Ferdowsi Ave, Energy sector firm that provides 26.7.2010 Industries PO Box manufacturing support to the nuclear 11365-171, programme, including designated Tehran, Iran proliferation sensitive activities. Involved in the construction of the Arak heavy-water reactor.

4. Bank Mellat Head Office Bank Mellat is a state-owned Iranian 26.7.2010 (including all Building, 327 bank. Bank Mellat engages in a branches) and Takeghani pattern of conduct which supports and subsidiaries: (Taleghani) facilitates Iran’s nuclear and ballistic Avenue, missile programmes. It has provided Tehran 15817, banking services to UN and EU listed Iran entities or to entities acting on their behalf or at their direction, or to P.O. Box entities owned or controlled by them. 11365-5964, It is the parent bank of First East Tehran 15817, Export Bank which is designated Iran under UNSCR 1929.

(a) Mellat Bank P.O. Box 24, 100 % owned by Bank Mellat 26.7.2010 SB CJSC Yerevan 0010, Republic of Armenia

(b) Persia Number 6 60 % owned by Bank Mellat 26.7.2010 International Lothbury, Post Bank Plc Code: EC2R 7HH, United Kingdom

5. Bank Melli, Ferdowsi Providing or attempting to provide 24.6.2008 Bank Melli Avenue, PO financial support for companies Iran (including Box 11365- which are involved in or procure all branches) 171, Tehran goods for Iran's nuclear and missile and programmes (AIO, SHIG, SBIG, subsidiaries: AEOI, Novin Energy Company, Mesbah Energy Company, Kalaye Electric Company and DIO). Bank Melli serves as a facilitator for Iran's sensitive activities. It has facilitated numerous purchases of sensitive

EN 99 EN materials for Iran's nuclear and missile programmes. It has provided a range of financial services on behalf of entities linked to Iran's nuclear and missile industries, including opening letters of credit and maintaining accounts. Many of the above companies have been designated by UNSCRs 1737 (2006) and 1747 (2007).

Bank Melli continues in this role, by engaging in a pattern of conduct which supports and facilitates Iran's sensitive activities. Using its banking relationships, it continues to provide support for, and financial services to, UN and EU listed entities in relation to such activities. It also acts on behalf of, and at the direction of such entities, including Bank Sepah, often operating through their subsidiaries and associates.

(a) Arian Bank House 2, Street Arian Bank is a joint-venture between 26.7.2010 (a.k.a. Aryan Number 13, Bank Melli and Bank Saderat. Bank) Wazir Akbar Khan, Kabul, Afghanistan

(b) Assa ASSA CORP, Assa Corporation is a front company 26.7.2010 Corporation 650 (or 500) created and controlled by Bank Melli. Fifth Avenue, It was set up by Bank Melli to New York, channel money from the United USA; States to Iran.

Tax ID No. 1368932 (United States)

(c) Assa 6 Britannia Assa Corporation Ltd is the parent 26.7.2010 Corporation Place, Bath organization of Assa Corporation. Ltd Street, St Owned or controlled by Bank Melli Helier JE2 4SU, Jersey Channel Islands

(d) Bank 587 Bank Kargoshaee is owned by Bank 26.7.2010 Kargoshaee Mohammadiye Melli. (a.k.a. Kargosai Square,

EN 100 EN Bank, a.k.a Mowlavi St., Kargosa’i Tehran 11986, Bank) Iran

(e) Bank Melli No.2, Nader Affiliated with entities sanctioned by 26.7.2010 Iran Investment Alley, Vali- the United States, the European Company Asr Str., Union or or the United Nations since (BMIIC) Tehran, Iran, 2000. Designated by the United States P.O. Box for being owned or controlled by 3898-15875; Bank Melli.

Alt. Location: Bldg 2, Nader Alley after Beheshi Forked Road, P.O. Box 15875-3898, Tehran, Iran 15116

Alt. Location: Rafiee Alley, Nader Alley, 2 After Serahi Shahid Beheshti, Vali E Asr Avenue, Tehran, Iran

Business Registration Number: 89584.

(f) Bank Melli Number 9/1, 24.6.2008 Iran Zao Ulitsa Mashkova, Moscow, 130064, Russia

(g) Bank Melli 18th Km Karaj Designated by the United States for 26.7.2010 Printing And Special Road, being owned or controlled by Bank Publishing Tehran, Iran, Melli Company P.O. Box (BMPPC) 37515-183;

Alt. Location: Km 16 Karaj Special Road, Tehran, Iran;

EN 101 EN Business Registration Number 382231

(h) Cement No. 241, Wholly owned by Bank Melli 26.7.2010 Investment and Mirdamad Investment Co. Holding Company to Development Street, Tehran, manage all cement companies owned Company Iran by BMIIC (CIDCO) (a.k.a.: Cement Industry Investment and Development Company, CIDCO, CIDCO Cement Holding)

(i) First Persian Walker House, Cayman-based fund licensed by the 26.7.2010 Equity Fund 87 Mary Iranian Government for foreign Street, George investment in the Tehran Stock Town, Grand Exchange Cayman, KY1- 9002, Cayman Islands;

Alt. Location: Clifton House, 7z5 Fort Street, P.O. Box 190, Grand Cayman, KY1- 1104 Cayman Islands;

Alt. Location: Rafi Alley, Vali Asr Avenue, Nader Alley, Tehran, 15116, Iran, P.O.Box 15875-3898

(j) Future Bank Block 304, Bahrain-based joint-venture majority 26.7.2010 BSC City Centre owned and controlled by Bank Melli Building, and Bank Saderat. Chairman of Bank Building 199, Melli was also chairman of Future

EN 102 EN Government Bank Avenue, Road 383, Manama, Bahrain;

P.O. Box 785, City Centre Building, Government Avenue, Manama, Bahrain, and all branches worldwide;

Business Registration Document: 54514-1 (Bahrain) expires 9 June 2009;

Trade License No.: 13388 (Bahrain)

(k) Africa Street, Tehran-based cement company 26.7.2010 Mazandaran Sattari Street majority-owned by CIDCO. Involved Cement No. 40, P.O. in large-scale construction projects Company Box 121, Tehran, Iran 19688;

Alt Location: 40 Satari Ave. Afrigha Highway, P.O. Box 19688, Tehran, Iran

(l) Mazandaran Kendovan Tehran-based textile company 26.7.2010 Textile Alley 5, Vila majority-owned by BMIIC and Bank Company Street, Melli Investment Management Co. Enghelab Ave, P.O. Box 11365-9513, Tehran, Iran 11318;

Alt. Location:

EN 103 EN 28 Candovan Cooy Enghelab Ave., P.O. Box 11318, Tehran, Iran;

Alt. Location: Sari Ave., Ghaemshahr, Iran

(m) Mehr Cayman Owned or controlled by Bank Melli 26.7.2010 Cayman Ltd. Islands;

Commercial Registry Number 188926 (Cayman Islands)

(n) Melli Mola Sadra Owned or controlled by Bank Melli 26.7.2010 Agrochemical Street, 215 Company PJS Khordad, Sadr (a.k.a: Melli Alley No. 13, Shimi Vanak Sq., Keshavarz) P.O. Box 15875-1734, Tehran, Iran

(o) Melli Bank London Wall, 24.6.2008 plc 11th floor, London EC2Y 5EA, United Kingdom

(p) Melli 514 Business Owned or controlled by Bank Melli 26.7.2010 Investment Avenue Holding Building, International Deira, P.O. Box 181878, Dubai, United Arab Emirates;

Registration Certificate Number (Dubai) 0107 issued 30. Nov 2005.

EN 104 EN (q) Shomal Dr Beheshti Owned or controlled by, or acts on 26.7.2010 Cement Ave No. 289, behalf of DIO Company Tehran, Iran (a.k.a: Siman 151446; Shomal) Alt. Location: 289 Shahid Baheshti Ave., P.O. Box 15146, Tehran, Iran

6. Bank Refah 40, North Banque Refah took over Bank Melli’s 26.7.2010 Shiraz Street, outstanding transactions following the Mollasadra sanctions imposed on the latter bank Ave., Vanak by the European Union Sq., Tehran, Iran

7. Bank Saderat Bank Saderat Bank Saderat is an Iranian state- 26.7.2010 Iran (including Tower, 43 owned bank (94 %-owned by IRN all branches) Somayeh Ave, government). Bank Saderat has and Tehran, Iran. provided financial services for entities subsidiaries procuring on behalf of Iran’s nuclear and ballistic missile programmes, including entities designated under UNSCR 1737. Bank Saderat handled DIO (sanctioned in UNSCR 1737) and Iran Electronics Industries payments and letters of credit as recently as March 2009. In 2003 Bank Saderat handled letter of credit on behalf of IRN nuclear-related Mesbah Energy Company (subsequently sanctioned in UNSR 1737).

(a) Bank 5 Lothbury, 100 % owned subsidiary of Bank 26.7.2010 Saderat PLC London, EC2R Saderat (London) 7HD, UK

8. Banque Sina 187, Avenue This bank is closely linked to the 26.7.2010 Motahari, interests of the "Daftar" (Leader’s Teheran, Iran office: administration composed of around 500 officers). It thus contributes to the financing of the regime’s strategic interests.

9. ESNICO No1, 37th Procures industrial goods, specifically 26.7.2010 (Equipment Avenue, for the nuclear programme activities Supplier for Asadabadi carried out by AEOI, Novin Energy

EN 105 EN Nuclear Street, Tehran, and Kalaye Electric Company (all Industries Iran designated under UNSCR 1737). Corporation) ESNICO’s Director is Haleh Bakhtiar (designated in UNSCR 1803).

10. Etemad Amin Pasadaran Av. Close to Naftar and to Bonyad-e 26.7.2010 Invest Co Tehran, Iran Mostazafan, Etemad Amin Invest Co Mobin Mobin contributes to the financing of the strategic interests of the regime and of the Iranian parallel State.

11. Export Export The Export Development Bank of 26.7.2010 Development Development Iran (EDBI) has been involved in the Bank of Iran Building, Next provision of financial services to (EDBI) to the 15th companies connected to Iran’s (including all Alley, programmes of proliferation concern branches) and Bokharest and has helped UN-designated subsidiaries: Street, entities to circumvent and breach Argentina sanctions. It provides financial Square, services to MODAFL-subordinate Tehran, Iran; entities and to their front companies which support Iran’s nuclear and Tose’e Tower, ballistic missile programmes. It has Corner of 15th continued to handle payments for St., Ahmad Bank Sepah, post-designation by the Qasir Ave., UN, including payments related to Argentine Iran’s nuclear and ballistic missile Square, programmes. EDBI has handled Tehran, Iran; transactions linked to Iran’s defence and missile entities, many of which No. 129, 21 's have been sanctioned by UNSC. Khaled EDBI served as a leading Eslamboli, No. intermediary handling Bank Sepah’s 1 Building, (sanctioned by UNSC since 2007) Tehran, Iran; financing, including WMD-related payments. EDBI provides financial C.R. No. services to various MODAFL entities 86936 (Iran) and has facilitated ongoing procurement activities of front companies associated with MODAFL entities.

(a) EDBI Tose’e Tower, Tehran-based EDBI Exchange 26.7.2010 Exchange Corner of 15th Company is 70 %- owned by Export Company St., Ahmad Development Bank of Iran (EDBI). It Qasir Ave.; was designated by the United States in October 2008 for being owned or Argentine controlled by EDBI. Square, Tehran, Iran

EN 106 EN (b) EDBI Stock Tose’e Tower, Tehran-based EDBI Stock Brokerage 26.7.2010 Brokerage Corner of 15th Company is a wholly owned Company St., Ahmad subsidiary of Export Development Qasir Ave.; Bank of Iran (EDBI). It was designated by the United States in Argentine October 2008 for being owned or Square, controlled by EDBI. Tehran, Iran

(c) Banco Urb. El Rosal, Banco Internacional De Desarrollo 26.7.2010 Internacional Avenida CA is owned by the Export De Desarrollo Francesco de Development Bank of Iran. CA Miranda, Edificio Dozsa, Piso 8, Caracas C.P. 1060, Venezuela

12. Fajr Aviation Mehrabad A subsidiary of the IAIO within 26.7.2010 Composite Airport, PO MODAFL (listed in the EU Common Industries Box 13445- Position 2007/140/CFSP), which 885, Tehran, primarily produces composite Iran materials for the aircraft industry, but also linked to the development of carbon fibre capabilities for nuclear and missile applications. Linked to the Technology Cooperation Office. Iran has recently announced its intention to mass produce new generation centrifuges which will require FACI carbon fibre production capabilities.

13. Fulmen 167 Darya Fulmen was involved in the 26.7.2010 boulevard - installation of electrical equipment on Shahrak the Qom/Fordoo site at a time when Ghods, 14669 the existence of the site had not yet - 8356 Tehran. been revealed.

(a) Arya Niroo Suite 5 - 11th Arya Niroo Nik is a shell company 26.7.2010 Nik floor - Nahid used by Fulmen for some of its Bldg, operations. Shahnazari Street – Mohseni Square Tehran

14. Future Bank Block 304. Two-thirds of Bahrain-based Future 26.7.2010 BSC City Centre Bank are owned by Iranian state Building. banks. EU-designated Bank Melli and

EN 107 EN Building 199, Bank Saderat each own one-third of Government the shares, the remaining third being Avenue, Road held by Ahli United Bank (AUB) of 383, Manama, Bahrain. Although AUB still owns its Bahrain. PO shares of Future Bank, according to Box 785; its 2007 annual report, AUB no longer exercises significant influence Business over the bank which is effectively Registration controlled by its Iranian parents both 2kDocument: of which are singled out in UNSCR 54514-1 1803 as Iranian banks requiring (Bahrain) particular "vigilance". The tight links expires 9 Jun between Future Bank and Iran are 2009; further evidenced by the fact that the Chairman of Bank Melli has also held Trade License concurrently the position of Chairman No 13388 of Future Bank. (Bahrain)

15. Industrial Government body responsible for 26.7.2010 Development acceleration of Iran’s & Renovation industrialisation. Controls various Organization companies involved in work for the (IDRO) nuclear and missile programmes and involved in the foreign procurement advanced manufacturing technology in order to support them.

16. Iran Aircraft A subsidiary of the IAIO within 26.7.2010 Industries MODAFL (listed in the EU Common (IACI) Position 2007/140/CFSP). Manufactures, repairs, and conducts overhauls of airplanes and aircraft engines and procures aviation-related parts often of US-origin typically via foreign intermediaries. IACI and its subsidiaries also have been detected using a worldwide network of brokers seeking to procure aviation-related goods.

17 Iran Aircraft P.O. Box Owned or controlled by, or acts on 26.7.2010 Manufacturing 83145-311, 28 behalf of MODAFL (listed in the EU Company km Esfahan – Common Position 2007/140/CFSP) (a.k.a: HESA, Tehran HESA Trade Freeway, Center, HTC, Shahin Shahr, IAMCO, Esfahan, Iran; IAMI, Iran Aircraft P.O. Box Manufacturing 14155-5568,

EN 108 EN Company, Iran No. 27 Aircraft Ahahamat Manufacturing Aave., Vallie Industries, Asr Square, Karkhanejate Tehran 15946, Sanaye Iran; Havapaymaie Iran, Hava P.O. Box Peyma Sazi-e 81465-935, Iran, Esfahan, Iran; Havapeyma Sazhran, Shahih Shar Havapeyma Industrial Sazi Iran, Zone, Isfahan, Hevapeimasazi Iran; ) P.O. Box 8140, No. 107 Sepahbod Gharany Ave., Tehran, Iran

18. Iran Centrifuge TESA has taken over the activities of 26.7.2010 Technology Farayand Technique (designated Company under UNSCR 1737). It manufactures (a.k.a. TSA or uranium enrichment centrifuge parts, TESA) and is directly supporting proliferation sensitive activity that Iran is required to suspend by UNSCRs. Carries out work for Kalaye Electric Company (designated under UNSCR 1737).

19. Iran PO Box Iran Communications Industries, a 26.7.2010 Communicatio 19295-4731, subsidiary of Iran Electronics ns Industries Pasdaran Industries (listed in the EU Common (ICI) Avenue, Position 2007/140/CFSP), produces Tehran, Iran; various items including communication systems, avionics, Alternative optics and electro-optics devices, address: PO micro-electronics, information Box 19575- technology, test and measurement, 131, 34 telecommunication security, Apadana electronic warfare, radar tube Avenue, manufacture and refurbishment, and Tehran, Iran; missile launchers. These items can be used in programmes that are under Alternative sanction per UNSCR 1737. address: Shahid Langary Street,

EN 109 EN Nobonyad Square Ave, Pasdaran, Tehran

20. Iran P. O. Box Wholly-owned subsidiary of 24.6.2008 Electronics 18575-365, MODAFL (and therefore a sister- Industries Tehran, Iran organisation to AIO, AvIO and DIO). (including all Its role is to manufacture electronic branches) and components for Iranian weapons subsidiaries: systems

(a) Isfahan P.O. Box Owned or controlled by, or acts on 26.7.2010 Optics 81465-117, behalf of Iran Electronics Industries Isfahan, Iran (listed in the EU Common Position 2007/140/CFSP)

21. Iran Insurance P.O. Box Iran Insurance Company has insured 26.7.2010 Company 14155-6363, the purchase of various items that can (a.k.a. Bimeh 107 Fatemi be used in programs that are Iran) Ave., Tehran, sanctioned by UNSCR 1737. Iran Purchased items insured include helicopter spare parts, electronics, and computers with applications in aircraft and missile navigation.

22. Iranian 107 Sepahbod A MODAFL (listed in the EU 26.7.2010 Aviation Gharani Common Position 2007/140/CFSP) Industries Avenue, organisation responsible for planning Organization Tehran, Iran and managing Iran’s military aviation (IAIO) industry

23. IRGC Air Operates Iran's inventory of short and 24.6.2008 Force medium range ballistic missiles. The head of the IRGC air force was designated by UNSCR 1737 (2006)

24. IRGC-Air The IRGC-Air Force Al-Ghadir 26.7.2010 Force Al- Missile Command is a specific Ghadir Missile element within the IRGC Air Force Command that has been working with SBIG (designated under UNSCR 1737) with the FATEH 110, short range ballistic missile as well as the Ashura medium range ballistic missile. This command appears to be the entity that actually has the operational control of the missiles.

25. IRGC Qods Tehran, Iran Iran’s Islamic Revolutionary Guard 26.7.2010 Force Corps (IRGC) Qods Force is

EN 110 EN responsible for operations outside Iran and is Tehran’s principal foreign policy tool for special operations and support to terrorists and Islamic militants abroad. Hizballah used Qods Force-supplied rockets, anti-ship cruise missiles (ASCMs), man- portable air defense systems (MANPADS), and unmanned aerial vehicles (UAVs) in the 2006 conflict with Israel and benefited from Qods Force training on these systems, according to press reporting. According to a variety of reporting, the Qods Force continues to re-supply and train Hizballah on advanced weaponry, anti-aircraft missiles, and long-range rockets. The Qods Force continues to provide limited lethal support, training, and funding to Taliban fighters in southern and western Afghanistan including small arms, ammunition, mortars, and short-range battlefield rockets. Commander has been sanctioned under UNSCR

26. Islamic No. 37, IRISL has been involved in the 26.7.2010 Republic of Aseman shipment of military-related cargo, Iran Shipping Tower, including proscribed cargo from Iran. Lines (IRISL) Sayyade Three such incidents involved clear (including all Shirazee violations that were reported to the branches) and Square, UN Security Council Iran Sanctions subsidiaries: Pasdaran Ave., Committee. IRISL’s connection to PO Box proliferation was such that the UNSC 19395-1311. called on states to conduct inspections Tehran. Iran; of IRISL vessels, provided there are reasonable grounds to believe that the No. 37, Corner vessel is transporting proscribed of 7th goods, in UNSCRs 1803 and 1929. Narenjestan, Sayad Shirazi Square, After Noboyand Square, Pasdaran Ave., Tehran, Iran

(a) Bushehr 143/1 Tower Owned or controlled by IRISL 26.7.2010 Shipping Road Sliema, Company Slm 1604,

EN 111 EN Limited Malta; (Tehran) c/o Hafiz Darya Shipping Company, Ehteshamiyeh Square 60, Neyestani 7, Pasdaran, Tehran, Iran

(b) CISCO Has offices in Acts on behalf of IRISL in South 26.7.2010 Shipping Seoul and Korea Company Ltd Busan, South (a.k.a IRISL Korea. Korea Ltd)

(c) Hafize No. 60 Acts on behalf of IRISL performing 26.7.2010 Darya Shipping Ehteshamiyeh container operations using vessels Lines (HDSL) Square, 7th owned by IRISL. (a.k.a HDS Neyestan Lines) Street, Pasdaran Avenue, Tehran, Iran;

Alternative Address: Third Floor of IRISL’s Aseman Tower

(d) Hanseatic Schottweg 7, Acts on behalf of HDSL in Europe. 26.7.2010 Trade Trust & 22087 Shipping Hamburg, (HTTS) Germany; GmbH; Opp 7th Alley, HTTS GmbH Zarafshan St, Eivanak St, Qods Township

(e) Irano Misr No 41, 3rd Acts on behalf of IRISL, along the 26.7.2010 Shipping Floor, Corner Suez Canal and in Alexandria and Company of 6th Alley, Port Said. 51 %-owned by IRISL. Sunaei Street, Karim Khan Zand Ave, Tehran;

EN 112 EN 265, Next to Mehrshad, Sedaghat St., Opposite of Mellat Park, Vali Asr Ave., Tehran 1A001, Iran;

18 Mehrshad Street, Sadaghat St., Opposite of Mellat Park, Vali Asr Ave., Tehran 1A001, Iran

(f) Irinvestship Global House, Owned by IRISL. Provides financial, 26.7.2010 Ltd 61 Petty legal, and insurance services for France, IRISL as well as marketing, London SW1H chartering, and crew management. 9EU, United Kingdom;

Business Registration Document # 4110179 (United Kingdom)

(g) IRISL Flat 1, 181 Acts on behalf of IRISL in Malta. A 26.7.2010 (Malta) Ltd Tower Road, joint venture with German and Sliema SLM Maltese shareholding. IRISL has been 1605, Malta using the Malta route since 2004 and uses Freeport as a trans-shipment hub between the Persian Gulf and Europe.

(h) IRISL (UK) Abbey Rd., 50 % owned by Irinvestship Ltd and 26.7.2010 Ltd (Barking, Baring, Essex 50 % by British Company Johnson Felixstowe) IG11 7 AX, Stevens Agencies Ltd. Provides United coverage of a cargo and container Kingdom; service between Europe and the Middle East and also two separate IRISL (UK) services between the Far East and the Ltd., Walton Middle East Ave., Felixstowe, Suffolk, IP11 3HG, United

EN 113 EN Kingdom

Business Registration Document # 4765305 2

(i) IRISL Club No 60 Owned by IRISL. 26.7.2010 Ehteshamiyeh Square, 7th Neyestan Street, Pasdaran Avenue, Tehran

(j) IRISL Schottweg 5, IRISL’s agent in Germany. 26.7.2010 Europe GmbH 22087 (Hamburg) Hamburg, Germany V.A.T. Number DE217283818 (Germany)

(k) IRISL Sarbandar Gas Owned by IRISL. Provides fuel, 26.7.2010 Marine Station PO bunkers, water, paint, lubricating oil Services and Box 199, and chemicals required by IRISL’s Engineering Bandar Imam vessels. The company also provides Company Khomeini, maintenance supervision of ships as Iran; well as facilities and services for the crew members. IRISL subsidiaries Karim Khan have used US dollar-denominated Zand Ave, Iran bank accounts registered under cover- Shahr Shomai, names in Europe and the Middle East No 221, to facilitate routine fund transfers. Tehran, Iran; IRISL has facilitated repeated violations of provisions of UNSCR No 221, 1747. Northern Iranshahr Street, Karim Khan Ave, Tehran, Iran

(l) IRISL No 25, Shahid Owned by IRISL. Responsible for the 26.7.2010 Multimodal Arabi Line, transporting of cargo by rail. It is a Transport Sanaei St, wholly controlled subsidiary of Company Karim Khan IRISL. Zand Zand St Tehran. Iran

EN 114 EN (m) IRITAL Ponte Point of contact for ECL and PCL 26.7.2010 Shipping SRL Francesco services. Used by the DIO subsidiary Morosini 59, Marine Industries Group (MIG; now 16126 Genova known as Marine Industries (GE), Italy Organization, MIO) which is responsible for the design and Commercial construction of various marine Registry structures and both military and non - Number: GE military vessels. DIO was designated 426505 (Italy); under UNSCR 1737. Italian Fiscal Code: 03329300101 (Italy);

V.A.T. Number: 12869140157 (Italy)

(n) ISI 147/1 St. Lucia Owned or controlled by IRISL 26.7.2010 Maritime Street, Valetta, Limited Vlt 1185, (Malta) Malta;

c/o IranoHind Shipping Co. Ltd., Mehrshad Street, PO Box 15875, Tehran, Iran

(o) Khazer No. 1: End of 100 % owned subsidiary of IRISL. 26.7.2010 Shipping Lines Shahid Total fleet of six vessels. Operates in (Bandar Mostafa the Caspian Sea. Has facilitated Anzali) Khomeini St., shipments involving UN- and US- Tohid Square, designated entities, such as Bank O.O. Box Mellli, by shipping cargo of 43145, Bandar proliferation concern from countries Anzali 1711- like Russia and Kazakhstan to Iran. 324, Iran;

M. Khomeini St., Ghazian, Bandar Anzali, Gilan, Iran

(p) Leadmarine 200 Middle Leadmarine, acts on behalf of HDSL 26.7.2010 (a.k.a. Asia Road #14-01 in Singapore. Previously known as Marine Prime Centre Asia Marine Network Pte Ltd and

EN 115 EN Network Pte Singapore IRISL Asia Pte Ltd, and acted on Ltd aka IRISL 188980 (alt. behalf of IRISL in Singapore. Asia Pte Ltd) 199090)

(q) Marble 143/1 Tower Owned or controlled by IRISL. 26.7.2010 Shipping Road, Sliema, Limited Slm 1604, (Malta) Malta

(r) Oasis Al Meena A joint venture company between 26.7.2010 Freight Street, IRISL and the UAE-based firm Sharif Agencies Opposite Shipping Company. Acts on behalf of (a.k.a. Pacific Dubai Ports & IRISL in the UAE providing fuel and Shipping Customs, 2nd stores, equipment, spare parts, and Company Floor, Sharaf ship repairs. Now known as Pacific Building, Shipping Company who act on behalf Dubai UAE; of HDSL.

Sharaf Building, 1st Floor, Al Mankhool St., Bur Dubai, P.O. Box 5562, Dubai, United Arab Emirates;

Sharaf Building, No. 4, 2nd Floor, Al Meena Road, Opposite Customs, Dubai, United Arab Emirates, Kayed Ahli Building, Jamal Abdul Nasser Road (Parallel to Al Wahda St.), P.O. Box 4840, Sharjah, United Arab Emirates

(s) Safiran 33 Eigth Acts on behalf of IRISL performing 26.7.2010 Payam Darya Narenjestan, bulk services Shipping Lines Artesh Street,

EN 116 EN (SAPID) PO Box 19635-1116, Tehran, Iran;

Alternative Address: Third Floor of IRISL’s Aseman Tower

(t) Santexlines Suite 1501, Santexlines act on behalf of HDSL. 26.7.2010 (a.k.a. IRISL Shanghai Previously known as IRISL China China Shipping Zhongrong shipping Company, it acted on behalf Company Ltd, Plaza, 1088, of IRISL in China. a.k.a. Yi Hang Pudong(S) Shipping road, Shanghai Company) 200122, Shanghai, China Alternative Address: F23A-D, Times Plaza No. 1, Taizi Road, Shekou, Shenzhen 518067, China

(u) Shipping No 37 Owned or controlled by, or acts on 26.7.2010 Computer Asseman behalf of IRISL Services Shahid Sayyad Company Shirazee sq., (SCSCOL) Pasdaran ave., P.O. Box 1587553 1351, Tehran, Iran;

No 13, 1st Floor, Abgan Alley, Aban ave., Karimkhan Zand Blvd, Tehran 15976, Iran.

(v) Soroush No 14 (alt. 5) Acts on behalf of IRISL. A Tehran- 26.7.2010 Saramin Asatir Shabnam based ship management company acts (SSA) Alley, Fajr as technical manager for many of Street, Shahid SAPID’s vessels Motahhari

EN 117 EN Avenue, PO Box 196365- 1114, Tehran Iran

(w) South Way No. 101, Controlled by IRISL and acts for 26.7.2010 Shipping Shabnam IRISL in Iranian ports overseeing Agency Co Ltd Alley, Ghaem such tasks as loading and unloading. Magham Street, Tehran, Iran

(x) Valfajr 8th Abyar Alley, A 100 % owned subsidiary of IRISL. 26.7.2010 Shipping Line Corner of It conducts transfers between Iran and Co. (a.k.a. Shahid Azodi the Gulf States such as Kuwait, Qatar, Valfajr) St. & Karim Bahrain, UAE, and Saudi Arabia. Khan Zand Valfajr is a Dubai-based subsidiary of Ave. Tehran, Islamic Republic of Iran Shipping Iran; Lines (IRISL) that provides ferry and feeder services, and sometimes Shahid Azodi couriers freight and passengers across St. Karim the Persian Gulf. Valfajr in Dubai Khan Zand booked ship crews, booked supply Zand Ave., vessel services, prepared ships for Abiar Alley. arrival and departure and for loading PO Box 4155, and unloading in port. Valfajr has Tehran, Iran port calls in the Persian Gulf and India. As of mid-June 2009, Valfajr shared the same building with IRISL in Port Rashid in Dubai, United Arab Emirates (UAE), and also shared the same building with IRISL in Tehran, Iran.

27. Islamic Tehran, Iran Responsible for Iran’s nuclear 26.7.2010 Revolutionary programme. Has operational control Guard Corps for Iran’s ballistic missile (IRGC) programme. Has undertaken procurement attempts for to support Irans ballistic missiles and nuclear programmes

28. Javedan Mehr Engineering firm that procures for the 26.7.2010 Toos Atomic Energy Organisation of Iran which was designated under UNSCR 1737

29. Kala Naft Kala Naft Trades equipment for oil and gas 26.7.2010 Tehran Co, sector that can be used for Iran’s P.O. Box nuclear program. Attempted to 15815/1775, procure material (very hard-wearing

EN 118 EN Gharani alloy gates) which have no use Avenue, outside the nuclear industry. Has links Tehran, Iran; to companies involved in Iran’s nuclear program. No 242 Shahid Kalantri Street - Near Karim Khan Bridge - Sepahbod Gharani Avenue, Teheran;

Kish Free Zone, Trade Center, Kish Island, Iran;

Kala Ltd., NIOC House, 4 Victoria Street, London Sw1H1

30. Machine Sazi 4th km Tehran Energy sector firm affiliated with 26.7.2010 Arak Road, PO Box IDRO that provides manufacturing 148, Arak, Iran support to the nuclear programme, including designated proliferation sensitive activities. Involved in the construction of the Arak heavy-water reactor. UK distributed an export denial notice in July 2009 against Machine Sazi Arak for an "alumina graphite stopper rod." In May 2009 Sweden denied the export to Machine Sazi Arak of "cladding of dish ends for pressure vessels".

31. Marine Pasdaran Av., A subsidiary of the DIO 24.4.2007 Industries PO Box 19585/ 777, Tehran

32. MASNA Subordinate to AEOI and Novin 26.7.2010 (Moierat Energy (both designated under Saakht UNSCR 1737). Involved in the Niroogahye development of nuclear reactors. Atomi Iran) Managing Company for the

EN 119 EN Construction of Nuclear Power Plants

33. Mechanic Took part in the production of 24.6.2008 Industries components for the ballistics Group programme

34. Ministry of West side of Responsible for Iran's defence 24.6.2008 Defence and Dabestan research, development and Armed Forces Street, Abbas manufacturing programmes, Logistics Abad District, including support to missile and (MODAFL) Tehran nuclear programmes

35 Naserin Vahid Naserin Vahid produces weapons 26.7.2010 parts on behalf of the IRGC. An IRGC front company.

36. Nuclear Fuel AEOI-NFPD, Nuclear Fuel Production Division 24.4.2007 Production and P.O.Box: (NFPD) of AEOI is research and Procurement 11365-8486, development in the field of nuclear Company Tehran / Iran fuel cycle including: uranium (NFPC) exploration, mining, milling, conversion and nuclear waste management. The NFPC is the successor to the NFPD, the subsidiary company under the AEOI that runs research and development in the nuclear fuel cycle including conversion and enrichment

37. Parchin Worked on propulsion techniques for 24.6.2008 Chemical the Iranian ballistics programme Industries

38. Parto Sanat Co No. 1281 Manufacturer of frequency changers 26.7.2010 Valiasr Ave., and it is capable of Next to 14th developing/modifying imported St., Tehran, foreign frequency changers in a way Iran. that makes them usable in gas centrifuge enrichment. It is deemed to be involved in nuclear proliferation activities.

39. Passive Responsible for the selection and 26.7.2010 Defense construction of strategic facilities, Organization including – according to Iranian statements - the uranium enrichment site at Fordow (Qom) built without being declared to the IAEA contrary to Iran’s obligations (affirmed in a

EN 120 EN resolution by the IAEA Board of Governors). Brigadier General Gholam-Reza Jalali, former IRGC is PDO’s chairman.

40. Post Bank 237, Motahari Post Bank has evolved from being an 26.7.2010 Ave., Tehran, Iranian domestic bank to a bank Iran which facilitates Iran’s international 1587618118 trade. Acts on behalf of Bank Sepah (designated under UNSCR 1747), carrying out Bank Sepah’s transactions and hiding Bank Sepah’s connection with transactions in order to circumvent sanctions. In 2009 Post Bank facilitated business on behalf of Bank Sepah between Iran’s defence industries and overseas beneficiaries. Has facilitated business with front company for DPRK’s Tranchon Commercial Bank, known for facilitating proliferation-related- related business between Iran and the DPRK.

41. Raka A department of Kalaye Electric 26.7.2010 Company (designated under UNSCR 1737). Established in late 2006, it was responsible for the construction of the Uranium enrichment plant at Fordow(Qom).

42. Research Subordinate to the AEOI and 26.7.2010 Institute of continuing the work of its former Nuclear Research Division. Its managing Science & director is AEOI Vice President Technology Mohammad Ghannadi (designated in (a.k.a. Nuclear UNSCR 1737). Science & Technology Research Institute)

43. Schiller Novin Gheytariyeh Acting on behalf of Defense 26.7.2010 Avenue - Industries Organisation (DIO). no153 - 3rd Floor - PO BOX 17665/153 6 19389 Teheran

44. Sepanir Oil and A subsidiary of Khatam al-Anbya 26.7.2010

EN 121 EN Gas Energy Construction Headquarters which was Engineering designated under UNSCR 1929. Company Sepanir Oil and Gas Engineering (a.k.a. Sepah Company is participating in Iran’s Nir) South Pars offshore Phase 15-16 gas field development project.

45. Shahid Ahmad SAKIG develops and produces 26.7.2010 Kazemi surface-to-air missiles systems for Industrial Iran’s military. It maintains military, Group missile, and air defense projects and procures goods from Russia, Belarus, and North Korea.

46. Shakhese Involved in the production of 26.7.2010 Behbud Sanat equipment and parts for the nuclear fuel cycle.

47. State The SPO appears to facilitate the 24.6.2008 Purchasing import of whole weapons. It appears Organisation to be a subsidiary of MODAFL (SPO)

48. Technology Tehran, Iran Responsible for Iran’s technological 26.7.2010 Cooperation advancement through relevant foreign Office (TCO) procurement and training links. of the Iranian Supports the nuclear and missile President’s programmes. Office

49. Yasa Part, Company dealing with procurement 26.7.2010 (including all activities related to the purchase of branches) and materials and technologies necessary subsidiaries: to nuclear and ballistic programmes.

(a) Arfa Paint Acting on behalf of Yasa Part. 26.7.2010 Company

(b) Arfeh Acting on behalf of Yasa Part. 26.7.2010 Company

(d) Hosseini Acting on behalf of Yasa Part. 26.7.2010 Nejad Trading Co.

(e) Iran Saffron Acting on behalf of Yasa Part. 26.7.2010 Company or

EN 122 EN Iransaffron Co.

(f) Shetab G. Acting on behalf of Yasa Part. 26.7.2010

(g) Shetab Acting on behalf of Yasa Part. 26.7.2010 Gaman

(h) Shetab Acting on behalf of Yasa Part. 26.7.2010 Trading

(i) Y.A.S. Co. Acting on behalf of Yasa Part. 26.7.2010 Ltd

EN 123 EN ANNEX IX

List of credit and financial institutions referred to in Article 22, 23(2), 24 and 25(a)22

A. Branches and subsidiaries falling within the scope of Article 36, of credit and financial institutions domiciled in Iran23

1. BANK MELLI IRAN*

France

43 Avenue Montaigne, 75008 Paris

BIC: MELIFRPP

Germany

Holzbrücke 2, D-20459, Hamburg

BIC: MELIDEHH

United Kingdom

Melli Bank plc

One London Wall, 11th Floor, London EC2Y 5EA

BIC: MELIGB2L

2. BANK SEPAH*

France

64 rue de Miromesnil, 75008 Paris

BIC: SEPBFRPP

Germany

Hafenstraße 54, D-60327 Frankfurt am Main

BIC: SEPBDEFF

Italy

Via Barberini 50, 00187 Rome

BIC: SEPBITR1

United Kingdom

22 Entities marked * are also subject to asset freezing within the meaning of Article 16. 23

EN 124 EN Bank Sepah International plc

5/7 Eastcheap, London EC3M 1JT

BIC: SEPBGB2L

3. BANK SADERAT IRAN*

France

Bank Saderat Iran

16 Rue de la Paix, 75002 Paris

BIC: BSIRFRPP

TELEX: 220287 SADER A / SADER B

Germany

Hamburg Branch

P.O. Box 112227, Deichstraße 11, D-20459 Hamburg

BIC: BSIRDEHH

TELEX: 215175 SADBK D

Frankfurt Branch

P.O. Box 160151, Friedensstraße 4, D-60311 Frankfurt am Main

BIC: BSIRDEFF

Greece

Athens Branch

PO Box 4308, 25-29 Venizelou St, GR 105 64 Athens

BIC: BSIRGRAA

TELEX: 218385 SABK GR

United Kingdom

Bank Saderat plc

5 Lothbury, London EC2R 7HD

BIC: BSPLGB2L

TELEX: 883382 SADER G

EN 125 EN 4. BANK TEJARAT

France

Bank Tejarat

124-126 Rue de Provence, 75008 Paris

BIC: BTEJFRPP

TELEX: 281972 F, 281973 F BKTEJ

5. PERSIA INTERNATIONAL BANK plc*

United Kingdom

Head Office and Main Branch

6 Lothbury, London EC2R 7HH

BIC: PIBPGB2L

TELEX: 885426

B. Branches and subsidiaries not falling within the scope of Article 36, of credit and financial institutions domiciled in Iran and credit and financial institutions that are neither domiciled in Iran nor come within the scope of Article 36 but are controlled by persons and entities domiciled in Iran

1. BANK MELLI*

Azerbaijan

Bank Melli Iran Baku Branch

Nobel Ave. 14, Baku

BIC: MELIAZ22

Iraq

No.111-27 Alley – 929 District – Arasat Street, Baghdad

BIC: MELIIQBA

Oman

Oman Muscat Branch

P.O. Box 5643, Mossa Abdul Rehman Hassan Building, 238 Al Burj St., Ruwi, Muscat, Oman 8 /

P.O. BOX 2643 PC 112

EN 126 EN BIC: MELIOMR

China

Melli Bank HK (branch of Melli Bank PLC)

Unit 1703-04, Hong Kong Club Building, 3A Chater Road, Central Hong Kong

BIC: MELIHKHH

Egypt

Representative Office

P.O. Box 2654, First Floor, Flat No 1, Al Sad el Aaly Dokhi.

Tel.: 2700605 / Fax: 92633

United Arab Emirates

Regional Office

P.O. Box: 1894, Dubai

BIC: MELIAEAD

Abu Dhabi branch

Post box No 2656 Street name: Hamdan Street

BIC: MELIAEADADH

Al Ain branch

Post box No 1888 Street name: Clock Tower, Industrial Road

BIC: MELIAEADALN

Bur Dubai branch

Post box No 3093 Street name: Khalid Bin Waleed Street

BIC: MELIAEADBR2

Dubai Main branch

Post box No 1894 Street name: Beniyas Street

BIC: MELIAEAD

Fujairah branch

Post box No 248 Street name: Al Marash R/A, Hamad Bin Abdullah Street

EN 127 EN BIC: MELIAEADFUJ

Ras al-Khaimah branch

Post box No 5270 Street name: Oman Street, Al Nakheel

BIC: MELIAEADRAK

Sharjah branch

Post box No 459 Street name: Al Burj Street

BIC: MELIAEADSHJ

Russian Federation

No 9/1 ul. Mashkova, 103064 Moscow

BIC: MELIRUMM

Japan

Representative Office

333 New Tokyo Bldg, 3-1 Marunouchi, 3 Chome, Chiyoda-ku.

Tel.: 332162631. Fax (3)32162638. TELEX: J296687

2. BANK MELLAT*

South Korea

Bank Mellat Seoul Branch

Keumkang Tower 13/14th Floor, Tehran road 889-13, Daechi-dong Gangnam-Ku, 135 280, Seoul

BIC: BKMTKRSE

TELEX: K36019 MELLAT

Turkey

Istanbul Branch

1 Binbircicek Sokak, Buyukdere Caddessi Levent -Istanbul

BIC: BKMTTRIS

TELEX: 26023 MELT TR

Ankara Branch

Ziya Gokalp Bulvari No: 12 06425 Kizilay-Ankara

EN 128 EN BIC: BKMTTRIS100

TELEX: 46915 BMEL TR

Izmir Branch

Cumhuriyet Bulvari No: 88/A P.K 71035210 Konak-Izmir

BIC: BKMTTRIS 200

TELEX: 53053 BMIZ TR

Armenia

Yerevan Branch

6 Amiryan Str. P.O. Box: 375010 P/H 24 Yerevan

BIC: BKMTAM 22

TELEX: 243303 MLTAR AM 243110 BMTRAM

3. PERSIA INTERNATIONAL BANK plc*

United Arab Emirates

Dubai Branch

The Gate Building, 4th Floor, P.O.BOX 119871, Dubai

BIC: PIBPAEAD

4. BANK SADERAT IRAN*

Lebanon

Regional Office

Mar Elias – Mteco Center, PO BOX 5126, Beirut

BIC: BSIRLBBE

Beirut Main Branch

Verdun street – Alrose building

P.O. BOX 5126 Beirut / P.O. BOX 6717 Hamra

BIC: BSIRLBBE

TELEX: 48602 – 20738, 21205 – SADBNK

Alghobeiri Branch

EN 129 EN No 3528, Alghobeiry BLVD, Jawhara BLDG Abdallah El Hajje str. –Ghobeiri BLVD, Alghobeiri

BIC: BSIRLBBE

Baalbak Branch

No 3418, Ras Elein str., Baalbak

BIC: BSIRLBBE

Borj al Barajneh Branch

No 4280, Al Holam BLDG, Al Kafaat cross, Al Maamoura str., Sahat Mreyjeh, 1st Floor

BIC: BSIRLBBE

Saida Branch

No 4338, Saida – Riad Elsoleh BLVD. Ali Ahmad BLG.

BIC: BSIRLBBE

Oman

BLDG 606, Way 4543, 145 Complex, Ruwi High Street, Ruwi, P.O. BOX 1269, Muscat

BIC: BSIROMR

TELEX: 3146

Qatar

Doha branch

No 2623, Grand Hamad ave., P.O. BOX 2256, Doha

BIC: BSIR QA QA

TELEX: 4225

Turkmenistan

Bank Saderat Iran Ashkhabad branch

Makhtoomgholi ave., No 181, Ashkhabad

TELEX: 1161134-86278

United Arab Emirates

Regional office Dubai

EN 130 EN Al Maktoum road, PO BOX 4182 Deira, Dubai

BIC: BSIRAEAD / BSIRAEADDLR / BSIRAEADLCD

TELEX: 45456 SADERBANK

Murshid Bazar Branch

Murshid Bazar P.O. Box 4182

Deira, Dubai

BIC: BSIRAEAD

TELEX: 45456 SADERBANK

Bur Dubai Branch

Al Fahidi Road

P.O.Box 4182 Dubai

BIC: BSIRAEAD

TELEX: 45456 SADERBANK

Ajman Branch

No 2900 Liwara street, PO BOX 16, Ajman, Dubai

BIC: BSIRAEAD

TELEX: 45456 SADERBANK

Shaykh Zayed Road Branch

Shaykh Road, Dubai

BIC: BSIRAEAD

TELEX: 45456 SADERBANK

Abu Dhabi Branch

No 2690 Hamdan street, PO BOX 2656, Abu Dhabi

BIC: BSIRAEAD

TELEX: 22263

Al Ein Branch

No 1741, Al Am Road, PO BOX 1140, Al Ein, Abu Dhabi

EN 131 EN BIC: BSIRAEAD

TELEX: 45456 SADERBANK

Sharjah Branch

No 2776 Alaroda road, PO BOX 316, Sharjah

BIC: BSIRAEAD

TELEX: 45456 SADERBANK

Bahrain

Bahrein branch

106 Government Road; P.O. Box 825, Block No 316; Entrance No 3; Manama Center; Manama

TELEX: 8363 SADER BANK

OBU

P.O. Box 825 – Manama

TELEX: 8688 SADER BANK

Uzbekistan

Bank Saderat Iran Tashkent

10 Tchekhov street, Mirabad district, 100060 Tashkent

BIC: BSIRUZ21

TELEX: 116134 BSITA UZ

5. TEJARAT BANK

Tajikistan

No 70, Rudaki Ave., Dushanbe

P.O. Box: 734001

BIC: BTEJTJ22XXX

TELEX: 201135 BTDIR TJ

China

Representative Office China

EN 132 EN Office C208 Beijing Lufthansa Center No 50 Liangmaqiao Road Chaoyang District Beijing 100016

6. ARIAN BANK* (also known as Aryan Bank)

Afghanistan

Head Office

House No 2, Street No 13, Wazir Akbar Khan, Kabul

BIC: AFABAFKA

Harat branch

No 14301(2), Business Room Building, Banke Khoon road, Harat

BIC: AFABAFKA

7. FUTURE BANK *

Bahrain

Future Bank

P.O. Box 785, Government Avenue 304, Manama

Shop 57, Block No 624 Shaikh Jaber Al Ahmed Al Sabah Avenue-Road No 4203, Sitra

BIC: FUBBBHBM / FUBBBHBMOBU / FUBBBHBMXXX / FUBBBHBMSIT

8. BANCO INTERNACIONAL DE DESARROLLO, SA

Venezuela

Banco internacional de Desarrollo, Banco Universal

Avenida Francisco de Miranda, Torre Dosza, Piso 8, El Rosal, Chacao, Caracas

BIC: IDUNVECAXXX

EN 133 EN